The theory of forensic identification occupies a special place among the general theoretical issues of forensic science, as it is the scientific basis for studying a number of areas in forensic science, for example, the forensic theory of a person's appearance, forensic investigation of traces, and others.
In addition, its role is great in practical activities.
It should be noted that this topic presents a certain complexity, since the purely theoretical issues under consideration are based on philosophical concepts.
In the presented work, if possible, the wide use of identification, the establishment of group affiliation and diagnostics in the investigation of crimes will be disclosed.
The scientific nature of forensic identification is substantiated, the main provisions of which are theories of knowledge about individuality, relative stability of objects of the material world and their ability to reflect their signs on other objects.
The relevance of the research topic is determined by the fact that in modern forensics, expert identification methods are of great importance as the main basis in solving various search and cognitive tasks.
Research objectives:
– analysis of the essence and scientific foundations of expert identification;
– consider objects and subjects of expert identification;
- to analyze the mechanism for establishing group affiliation and its significance in forensic science;
– to explore the essence of forensic diagnostics.
The purpose of the work is to study the essence and mechanisms of expert identification and its role in modern forensic science.
The theoretical basis of the study was the work of domestic lawyers - Averyanova T.V., Bakhin V.P., Belkin R.S., Bondar M.E., Vinberg A.I., Ishchenko E.P., Koldin V.Ya., Korukhov Yu.G., Obraztsov V.A., Manss G.Yu., Mirsky D.Ya., Rossinskaya E.R. Khlyntsev M.N., Shlyakhov A.R., Yablokov N.P., Yalyshev S.A.
Any crime is committed in the conditions of reality and, at the same time, inevitably in the environment where this or that crime is committed, various traces (displays) are formed due to the universal property of matter as a property of reflection. And when solving crimes, it often becomes necessary to determine the connection of a person, object (hacking tool) or other object with the event under investigation by traces or other reflections.
In the process of investigating crimes, it often becomes necessary to identify a person or object based on material or ideal images. For example, if handprints are found at the scene, then one of the tasks is to identify the person who left these traces; if footprints are found at the scene of the incident, then in the course of the investigation it becomes necessary to establish the footwear that left these footprints. The solution of such problems is carried out by identification.
Forensic identification is the process of establishing the presence (or absence) of the identity of an object by comparing the studied features inherent in it and imprinted in their displays in order to obtain evidence or establish other facts relevant to the disclosure, investigation or prevention of crimes. Identity or identity means the equality of an object with itself in its various manifestations and states, its uniqueness, difference from all other objects, including those similar to itself 1 .
The term "identification" comes from the Latin word " identificare"- identical, the same and means the establishment of the identity of an object (a person, things, phenomena, etc.).
To identify, to identify means to establish by the method of comparative research whether a certain object is not the desired one.
It can be seen from the definition that, first of all, identification is a process of research. Since it is a research process, then certain persons participate in it, who establish this single concrete object. They are usually called subjects of expert (forensic) identification. They can be various participants in the criminal process: an investigator, an interrogating officer, a judge, an expert, a victim, suspects, etc. Each of them solves the problem of identification in accordance with its procedural status and means permitted by law. For example 1:
a) the expert, conducting a ballistic examination, determined that the bullet was fired from this pistol;
b) witnesses saw the criminal, remembered his appearance and can recognize him by mental image.
The definition specifies the method of establishing a single concrete object - these are various mappings of these objects.
Identification is possible due to the following basic properties of material objects 2:
First, because of their individuality and originality. Any object of the material world is individual, unique, regardless of the ways of its occurrence. The individuality and uniqueness of an object increases when it interacts with the environment, for example, during operation. As a result, the object acquires new additional features that enhance its difference from its own kind;
secondly, due to the relative stability and immutability of objects. Despite the fact that each object is in a continuous process of movement and change, it remains relatively unchanged for some time, has a qualitative certainty that distinguishes it from other similar objects. Since absolutely immutable objects do not exist, it is customary to note their relative stability. Different degrees of stability and immutability of objects are of great practical importance and should be taken into account when working with such objects;
thirdly, due to the fact that objects as a result of interaction display their features on other objects. The ability of objects to display their features on other objects depends on the state of the object, the perceiving environment, and the display mechanism. In other words, the above depends on the state and properties of the interacting objects and the interaction mechanism itself, as a result of which the signs of others are displayed on the surface of some. By displaying signs, it is precisely the identification of objects that is possible.
In forensics, objects are identified by:
1) their external features (shapes, sizes, etc.);
2) internal properties and structure;
3) functional-dynamic complexes of skills (FDK of skills: handwriting, gait, etc.).
At the same time, object mappings exist in various forms, namely 1:
display in the form of mental images that arise in the minds of people as a result of visual or other perceptions (signs of a criminal in the memory of the victim, features of the sound of a shot).
display in the form of a description, drawings made at the time or after visual perception of objects by the observed themselves or according to their testimony by other persons (investigator, artist, etc.) (orientations, subjective portraits).
display, as a fixation of the reproduction of the developed skills, for example, the skills of writing and handwriting in manuscripts, the way of criminal actions in the environment.
photographic displays and displays in the form of mechanical recordings of human speech, voice (phonograms).
display in the form of parts of objects and particles of matter (parts of a hacking tool, fragments of headlight glass at the scene).
display in the form of various types of traces (traces of hands, feet, hacking tools, vehicles).
Identification of an object is carried out by studying and comparing its features with their reflections. Identification features make up only a part of the features of an object, but that part of it that is able to distinguish an object from among similar ones and allows it to be identified. Identification features must meet several conditions, the main of which are: materiality, specificity, originality, severity, relative stability. The value of a feature that can be displayed on another object is determined by the frequency of occurrence. Common features are less valuable than rare features.
For the identification of objects, the classification of features is important, dividing them into group (general) and private (individualizing) 1 .
Under the group refers to the features inherent in a particular group (genus, kind) of objects. For example, the signs of the group value of the barrel of a weapon include: its diameter (caliber), the number and direction of rifling, the angle of inclination and the width of the rifling fields. These signs do not determine the identity of the barrel (its individuality), since they are typical for the barrels of a certain group (system) of weapons and express only their similarity, more precisely, their relevance to a certain group.
Particular features are understood as signs that, in their totality, can individualize an object, distinguish it from a group of similar ones. In relation to the above example, individual features are various features of the relief of the walls of a particular bore, formed during its manufacture and operation (shells, burrs, etc.), displayed on the pool and allowing to identify this bore. A particular characteristic is not in itself individual. The totality of these features is individual. Based on the establishment of an individual set of features, identification is carried out.
Any object has many features, but not all of them are used in the identification process. The features of an object used for identification are called identification features, the unique combination of these features, which is the basis for solving the question of identity, is called an individual or identification set, and the area of the object containing this set is called an identification field.
The identification process includes objects that have a spatially fixed shape, with a certain degree of stability (immutability) in time. Such objects include people, animals, various objects (solid and semi-solid bodies), rooms and terrain.
There are two types of objects involved in the identification process. The object whose identity is established is called identifiable (or identified), and the objects by which identity is established are called identifying (or identifying).
In a particular act of identification, there can be only one identifiable object, since identification is the establishment of one, the same object. There may be several identifying objects, since the signs of an identified object are sometimes displayed on several objects: fingerprints left by the same person can be found on several objects, traces of the firing pin of the same weapon on several cartridge cases, etc. d 1 .
It is possible to have several identifying objects in relation to one identified object if they reflect its different properties (different identification fields). For example, the identification of a specific subject, a set of displays in the footprints of hands, bare feet, teeth; handwriting.
To compare the individual features of objects, it often becomes necessary to obtain samples for comparative research, for example, fired bullets, spent cartridge cases, fingerprints, handwritten texts, etc. As a rule, they are obtained during the production of such investigative actions as obtaining samples for comparative research, during a search, seizure, investigative and expert experiments, etc.
Samples specially obtained by the investigator or the person conducting the inquiry for identification are called experimental. Thus, a handwritten text written by a suspect (accused) on the instructions of an investigator and intended for identification will be experimental. Along with them there is a category of so-called free samples. For example, when identifying a person by handwriting, free samples are used - texts performed without connection with the crime under investigation; and conditionally free samples - texts performed by the suspect (accused) during the investigation of a criminal case, but not in connection with the appointment of an expert examination. When identifying a typewriter by typewritten text, free samples may be required in the form of texts known to be made on this typewriter in a certain period.
Depending on which display was used for identification, the type of identification itself is determined.
1.2. Types of identification
Depending on the nature of the display of the features of the object, the identity of which is established, there are 4 types of forensic identification 1:
Identification of objects by mental image. It is widely used in the practice of investigating crimes during an investigative action - presentation for identification.
Identification of an object by its description. It is mainly used to search for criminals and stolen items, to identify unidentified corpses, as well as in forensic records.
Identification of objects by their material-fixed representations (traces, photographs, manuscripts, etc.) is the most common case of forensic identification, carried out in the process of forensic examinations.
Identification of an object by its parts. It is carried out in cases when it becomes necessary to establish that these parts before the destruction (separation) of the object constituted a single whole. For example, fragments of a headlight glass found at the scene of an accident and seized from the headlights of a car identify this car as a participant in this incident.
When identifying by materially fixed representations of features, identifying objects are those on which the features of the identified object are displayed in a stable (materially fixed) form. For example, traces of a vehicle on the ground, found during an inspection of the scene of an accident, in which the individualizing features (private signs) of the tire tread were displayed.
The scientific basis of expert identification is the provisions of the theory about the individuality and relative stability of the objects of the material world and their ability to reflect their features on other objects.
Individuality is the uniqueness of an object, its identity, equality with itself. In nature there are not and cannot be two objects identical to each other. The individuality of an object is expressed in the presence of a unique set of features that no other similar object has. Such signs for an object, thing are dimensions, shape, color, weight, material structure, surface topography and other signs; for a person - the features of the figure, the structure of the head, face and limbs, the physiological characteristics of the body, the characteristics of the psyche, behavior, skills, etc. Since the objects of the material world are individual, identical to themselves, then they, therefore, are characterized by individual signs and properties. In turn, these signs of objects are displayed on other objects. The mappings, therefore, are also individual 1 .
On the other hand, all objects of the material world are subject to continuous changes (a person gets old, shoes wear out, etc.). For some, these changes occur quickly, for others slowly, for some the changes may be significant, while for others they may be insignificant. Although objects are constantly changing, they retain the most stable part of their features for a certain time, which allow identification. The property of material objects to maintain, despite changes, the totality of their characteristics is called relative stability.
The next important prerequisite for forensic identification is the property of reflecting objects of the material world, i.e. their ability to reflect their attributes on other objects in various forms of mappings, which are discussed above.
Thus, the identification of objects of the material world associated with the event of a crime plays an important role in the process of disclosing, investigating a crime; The scientific basis of forensic identification is the provisions of the theory of knowledge about individuality, relative stability and the ability of objects of the material world to reflect signs on other objects.
Depending on the objects used for identification by materially fixed representations of features, there are two main variants of it 1:
a) identification in the presence of an identifiable object and one or more identifying objects. For example, the suspect's shoes and several plaster casts of the footprint of the shoe, made during the inspection of the scene;
b) identification by materially fixed representations of attributes without an identifiable object: an identifiable object is not found, but there are identifying objects in relation to which the problem of establishing the source of their origin is being solved. For example, two spent cartridges were seized at the scene of the incident, but the weapon (identifiable object) was not found. To resolve the issue, whether cartridge cases were fired from the same weapon or from different ones, a comparative study of the presented cartridge cases (identifying objects) is carried out; the identified object practically cannot be presented for research or there is no need for it. Thus, the identification of a person by materially fixed reflections of his external features (for example, by traces of papillary patterns, by teeth marks, by photographic images) is carried out, as a rule, by a comparative study of the displays of the corresponding features. A direct study of human characteristics is not caused by practical necessity: they can be quite fully and clearly recorded in identifying sample objects, copies that are specially obtained and submitted for research.
When identifying by signs of a common origin or when establishing a whole by its parts, the identified object is the whole that existed before its dismemberment (separation) into parts, i.e. a single object or a composite object (including a set of objects), and identifying objects are parts of this whole. As you can see, the division of objects into identifiable and identifying in relation to this type of identification is conditional 1 .
In this case, there is no whole, and it is virtually impossible to restore it. Therefore, we should talk about the assignment of individual parts to the whole, for example, the tip of a knife blade stuck in the skull, and a knife with a broken blade.
For identification of an object by signs of a common origin, signs of two groups are used.
The first group consists of those that arose before the division of the object into parts that characterize its external structure (shape, size, color, relief features, traces of processing), its internal structure, as well as features of storage or operation. For example, fragments of a headlight lens seized from the scene of a traffic accident, and fragments seized from the vehicle being checked. In a similar way, a single whole is established when the set is identified. For example, a knife and a scabbard, belonging of parts to a certain mechanism.
The second group consists of signs that appeared at the time of dismemberment, including traces that reflect the external structure of the tool used to dismember the object.
The possibility of identification by a mental image is based on the fact that a person who previously observed an object, as a rule, stores its image in memory, and then compares the image with objects currently observed (and concludes which of the observed objects is the same object that he had previously observed). Identification by a mental image is carried out in the form of such an investigative action as presentation for identification 2 .
Identification by descriptions of signs can be carried out by comparing the signs recorded in two descriptions (for example, in identification cards for a missing person and for an unidentified corpse), or by comparing the signs contained in the description with the signs of the observed object (for example, comparison signs of objects described by the victim, with signs of objects found during the search). If we analyze the above classification, the division of identification into types, we can conclude that it is not without some inaccuracies. In particular, the division into different types is based on unequal grounds. For example, identification but materially fixed reflections of signs and the whole in parts. Both in the nerve and in the second cases, to a certain extent, we are talking about the study of signs that have found material expression, are displayed on the surface of the object under study. Based on this, we can conclude that there are two types of identification: 1) but materially fixed mappings and 2) but ideal mappings of features.
1.3. Spheres of identification
In addition to types of identification, there are areas for its implementation. Depending on the subject and the method of identification, identification is distinguished in the procedural and non-procedural spheres. Procedural identification is divided into expert, investigative and combined, carried out by the investigator or the court on the basis of an assessment of the totality of evidence, among which there may be an expert opinion. In the procedural sphere, identification, for example, is carried out during examinations, presentation for identification. The results of such identification, reflected directly in the expert's opinion or indirectly in the protocol of the investigative action, acquire the value of evidence in the case. Speaking about the indirect reflection of the results of identification, they mean the actions of the investigator, carried out on the basis of his identification. For example, the interrogation of a witness to establish his identity or the seizure during a search of things, the signs of which coincide with the signs of the stolen person, known to the investigator.
In the non-procedural sphere, identification is carried out during operational-search activities, research based on operational materials, during identification in administrative activities (when checking documents), etc. Its results are reflected in certificates and other documents that are not evidence, but the information contained in them is used to detect and investigate crimes.
2. Objects and subjects of forensic identification. Identification features and their classification.
The objects of expert identification can be any objects of the material world that have a material-fixed structure. Mostly they are solids.
In any process of forensic identification, at least two objects are necessarily involved, which are divided into:
identifiable (identified);
identifying (identifying).
Identifiable are those objects whose identity is being established. These are objects that can be displayed on other objects. They can be 1:
person (suspected, accused, wanted, witness, victim, etc.);
corpses of people requiring identification;
items serving as physical evidence (weapons, hacking tools, shoes, stolen items, vehicles, etc.);
animals;
the area or room where the event under investigation took place, etc.
Identifiers are objects with the help of which the identity of the identifiable is established. They can be any objects on which (or in which) the signs of the identified object are displayed. For example, for a person, traces of hands, bare feet, teeth, blood, etc. can be identifying.
There are two types of identifying objects:
Evidence .
Most often these are objects with traces of unknown origin, anonymous letters, typewritten texts, etc. The occurrence of these objects is associated with the event of the crime being investigated, they serve as a means of proof in the case and therefore they are irreplaceable.
Samples are materials for comparison with physical evidence obtained presumably from the same source, i.e. identified object. Such samples will be the fingerprints of a certain person, obtained for comparison with the traces of fingers found at the scene, the manuscripts of a specific person, obtained for comparison with the handwriting of the performer of an anonymous letter, etc.
Depending on the method of preparation, free and experimental samples are distinguished.
Free samples are those that are made out of connection with the crime committed (samples of a person's handwriting in his letters).
Experimental - obtained during the investigation. For example, a text written by a suspect under the dictation of an investigator.
The subject of forensic identification can be any person who provides evidence in a criminal case: an investigator, an expert, a court.
Procedural - these are the forms that are directly provided for by the Code of Criminal Procedure of the Russian Federation. They can be carried out at:
conducting identification examinations (Articles 195 - 207 of the Code of Criminal Procedure of the Russian Federation);
presentation for identification (Article 193 of the Criminal Procedure Code of the Russian Federation);
inspection and examination (Articles 178-179 of the Code of Criminal Procedure of the Russian Federation);
seizure and search (Article 182 of the Code of Criminal Procedure of the Russian Federation).
The non-procedural form includes identification carried out for operational purposes. These include 1:
conducting an expert study (expert's certificate);
carrying out by the investigator independently or jointly with a specialist a preliminary pre-expert study of material evidence (determining a person’s height according to the footprint of a shoe, etc.);
verification (establishment) of identity according to documents;
use of forensic and operational records, etc.
Features of objects that can be used to identify them are called identification. They are divided into public and private.
Common features are inherent not only to a given object, but also to all objects of a particular group (species, genus). For example, all axes have a certain size and shape of the blade, any handwriting - wear, size, slope, connectedness, etc. Identification by them cannot be carried out, they serve to narrow the circle of the desired objects.
Particular features are those that are inherent in the objects of one group and characterize the details of each object. For example, particular signs of an ax blade can be nicks, dents, particular signs of a shoe sole - cracks, scratches, patches, etc. They are the basis for identification. Sometimes a particular attribute may be inherent in some other objects of this kind. Therefore, in the identification study, a combination of both general and particular features is used. Each sign is characterized by: size, shape, color, position, features.
Thus, in the process of forensic identification, various objects are examined, which are divided into two main groups: identifiable and identifying; identification of objects is carried out by a set of features inherent only to it, which are divided into general and particular.
3. Establishment of group affiliation and diagnostics, their significance
When solving crimes, along with identification, it is important to establish group affiliation, in which the type, class, genus and type of the object under study is determined.
Establishing group affiliation is a process of research with the aim of assigning the object under study to a particular group. It is based on the objective possibility to classify the whole variety of objects according to their group characteristics. Establishing a group affiliation in forensics is primarily a study, as a result of which an object belongs to a certain group of already known objects. At the same time (by analogy with identification), installed and installing samples 1 are distinguished.
It should be borne in mind that there are fundamental differences between identification and the establishment of group affiliation. During identification, the object is set as the same - the only one (for example, a specific copy of the firearm from which the shots were fired). When belonging to a group, the object is set as the same - similar to other objects of a certain group (for example, a trace is left by the sole of men's shoes of size 42).
Differences between identification and establishment of group affiliation lie in the field of evidentiary value of the established facts. The conclusion about the identity indicates the presence of a direct connection between the given object and a certain circumstance, which is clarified in the course of the investigation. So, if a specific citizen is identified on the trace of a finger taken from the scene, this means that the fingerprint at the scene was left by him.
Establishing a group affiliation gives only grounds for assuming a possible connection of this object with the event under investigation. So, if a finger print is found at the scene of the incident, which has a whorl papillary pattern, in which its individual signs are not displayed (or there are very few of them), then this means that this trace may belong to a suspect who has whorl papillary patterns. The above only indicates a possible connection of the suspect with the event under investigation, since many people can have whorled papillary patterns.
The significance of group affiliation in the practice of solving crimes is explained by the fact that the results of the study make it possible to determine the narrowest group of objects involved in the commission of crimes. This is due to the fact that objects belonging to the same group are characterized by a certain set of features. Moreover, with an increase in the number of features that underlie the classification, the volume of the group, i.e. the number of objects included in it decreases.
Establishing group membership may have independent significance or be part of a general identification process. It finds application in carrying out any type of identification, being its first step. The solution of the question of identification is always preceded by the establishment of group affiliation.
Group membership is set for 1:
Finding out the source of origin or method of making an object (for example, counterfeit money).
The group affiliation of an object can be established by an investigator, a court, an operative both in a procedural and non-procedural form, an expert only in a procedural form, and a specialist only in a non-procedural form.
Types of establishing group affiliation are similar to types of forensic identification.
The establishment of group affiliation is also resorted to in cases where, for various reasons, it is impossible or not necessary to make identification. Here are the most typical of these reasons.
Reason one. The set of features displayed in the identifying object is not sufficient to resolve the issue of identity.
The second reason. The object whose identity is being established has undergone changes. The new set of its features does not correspond to the one displayed in the identifying object.
Reason three. There is an identifying object (for example, a trace), but the object is unknown (not found), the identity of which is to be established.
Reason four. The specificity of the mechanism for the formation of traces is such that they did not display signs that individualize a particular object.
Reason five. Some objects cannot be identified at all, since they do not have a spatially fixed structure.
Reason six. In a number of cases, there is no need to make identification at all: the establishment of group affiliation is already sufficient to resolve legal issues. So, in order to bring to criminal liability under Art. 223 of the Criminal Code of the Russian Federation, it is enough to establish that a particular item made by a citizen is a cold weapon.
When establishing a group membership, set and set objects and samples are used. The object being set is the one whose group membership is being set. An installer is an object that displays the attributes of the object being installed. As samples, natural objects are used, the group affiliation of which is known in advance. For comparison, various reference materials can be used that contain descriptions and illustrations of features that are characteristic for determining groups of objects.
4. Forensic diagnostics
For the first time the concept of expert forensic diagnostics was introduced in the early 70s by V.A. Snetkov 1 . The term "diagnosis" of Greek origin, which means able to recognize, recognition - the doctrine of methods for recognizing diseases and the signs that characterize certain diseases. In the broad sense of the word, the process of recognition is used in all branches of science and technology, is one of the elements of the knowledge of matter, that is, it allows you to determine the nature of phenomena, substances, materials and specific objects. From a philosophical and logical point of view, the term "diagnostics" can legitimately be used in any branch of science.
Forensic expert diagnostics is a research process in order to identify the qualitative and quantitative characteristics of objects that make it possible to establish individual circumstances of the crime under investigation 2 . Diagnostic studies are carried out in order to establish certain properties and states of objects, decipher the dynamics of an event, understand the cause of a phenomenon, etc. So, according to the footprints found during the inspection of the scene, as a result of diagnostics, it is possible to establish (determine): how many people were at the scene of the incident; in what direction (how) did they move; Where did they leave the scene? whether weights were moved; what actions were taken; how they arrived at the scene, etc.
The essence of forensic diagnostics can be defined as the doctrine of the patterns of recognition of forensic objects by their characteristics (gender of a person by handwriting, distance of a shot by traces of the use of firearms, human growth by footprints, age of records by the properties of strokes, blood types by smeared fat traces, such as firearms according to traces on cartridge cases, type of clothing according to the composition and properties of single fibers, etc.).
Being a special kind of cognitive process, diagnosis differs from identification and identification used in forensic practice.
When diagnosing, an object is established by comparing the knowledge accumulated by science, experience about a group, a class of corresponding objects.
In forensic identification, an object is established by comparing two (or more) specific objects, each of which is individual.
The difference does not exclude the use of diagnostics in the initial stages of identification, moreover, sometimes it turns out to be useful for choosing the most effective method of identification, assessing the significance of the identified features.
Such a diagnosis helps to limit the search area, the circle of persons suspected of committing a crime, the purposefulness of the search, allows you to specify the direction of the search for evidence, etc.
Diagnostics, as well as the establishment of group membership, is based on the study of the features of objects, regardless of whether the object itself or its display is studied. At the same time, the main attention is paid to the informational side of the signs. Unlike identification, diagnostics is based on the study of the mechanism of formation of traces and the conditions for their occurrence 1 .
In the process of diagnostic studies, one of the main methods is comparison by analogy. So, when establishing the mechanism of an event based on the study of the totality of its reflections (integrative diagnostics), on the one hand, the scientific provisions of forensic science about recurring typical situations in the mechanism of similar crimes are used; on the other hand, a comprehensive analysis of a specific situation, all the signs that characterize the mechanism of action.
Diagnostic studies are carried out to: determine the properties and state of the object, its compliance (non-compliance) with the specified characteristics; investigation of the circumstances of the action; establishing a causal relationship between facts, etc. Typical diagnostic tasks in forensic science are as follows: to establish the cause of the explosion (fire), the serviceability of the weapon and its suitability for the production of an explosion; reveal invisible text; determine if the lock was opened with a master key; determine how a traffic accident or other crime occurred in dynamics, etc.
Valuable information for the disclosure of crimes, the search for persons who commit them, is provided by diagnostic studies of fibers and other micro-objects - particles of paint, glass, and plant residues.
Thus, the introduction of diagnostic studies into the practice of internal affairs bodies is a very urgent problem.
Summarizing the conducted research the following conclusions. Identification is the process of establishing the identity of an object. The theory of expert identification is based on the doctrine of dialectical identity, the dialectical method of cognition. The formal logical law of identity is also of great importance as one of the laws of human thinking. Identification of objects of forensic significance is a special case of identification of objects of the material world.In forensic identification, not all properties and signs are studied, but mainly their external signs, features of the external structure of objects. These features of the external structure of objects under certain conditions are displayed on other objects. For example, the features of an ax blade (roughness) are displayed in the trace of a cut on a tree, the features of a person's appearance are displayed in the memory of another person, in a photograph, etc.
It should be noted that the identification of objects of the material world associated with the event of a crime plays an important role in the process of disclosing and investigating a crime.
The scientific basis of forensic identification is the provisions of the theory of knowledge about individuality, relative stability and the ability of objects of the material world to reflect signs on other objects.
The objects of forensic identification can be any objects of the material world that have a material-fixed structure; any process of forensic identification necessarily involves at least two objects, which are divided into: identifiable (identified); identifying (identifying).
Identification can be carried out in two forms: procedural and non-procedural.
The results of identification, reflected in the conclusion in the expert's opinion and in the protocol of presentation for identification, acquire the value of evidence.
The non-procedural form includes identification carried out for operational purposes.
In the process of forensic identification, various objects are examined, which are divided into two main groups: identifiable and identifying; identification of objects is carried out by a set of features inherent only to it, which are divided into general and particular.
Establishing a group affiliation in forensics is primarily a study, as a result of which an object belongs to a certain group of already known objects. At the same time (by analogy with identification), installed and installing samples are distinguished.
The essence of forensic diagnostics can be defined as the doctrine of the patterns of recognition of forensic objects by their characteristics.
Diagnosis can be carried out in procedural or non-procedural forms.
Diagnostics is especially promising in the framework of operational-search activities carried out in the course of solving crimes, as it provides operational workers and other persons with information to build versions of the search for suspects. Finally, such studies make it possible to carry out prompt verification of persons suspected of committing a crime.
The introduction of diagnostic studies into the practice of internal affairs bodies is a very urgent problem.
LIST OF SOURCES USED
Samoilov G.A. Theoretical Foundations of Forensic Identification and Group Establishment // Forensic Expertise. Moscow, 1966 The concept of a criminal offense 2014-09-19
Determining the nature of an unknown substance. The issue is resolved with the help of chemical, biological and other research methods, when the investigation is interested, for example, what substance formed the stain on the suspect's clothes, or what kind of liquid is in the vial found at the scene.
Definitions of the essence and meaning of the subject. In this case, forensic, technical and other studies are carried out in order to resolve issues such as whether this item is a firearm, whether this device is suitable for making moonshine, etc.
Assignment of an object to a certain group, to the mass of substances. At the same time, various studies are carried out to determine, for example, the homogeneity of objects found at the scene and seized from the suspect.
The theory of forensic identification is one of the most developed private forensic theories. Since the formulation by S. M. Potapov in 1940 of its main provisions and up to the present time, this theory has occupied one of the leading places in forensic scientific research. All prominent domestic criminologists directly or indirectly dealt with the problems of forensic identification; the literature on the subject is constantly growing. If in 1940 -1955. 13 works of 7 authors were published, then in 1956 -1960. 36 publications by 28 authors have already seen the light, and in 1961-1965. 69 papers written by 40 scientists are published. Over the past 20 years, the number of publications on general and particular issues of identification theory has continued to grow. Doctoral dissertations by V. Ya. varieties of the identification process are considered in the doctoral dissertations of G. L. Granovsky, V. F. Orlova, B. M. Komarinets, V. A. Snetkov, N. P. Mailis, V. E. Kornoukhov and others, in a number of candidate dissertations , monographs and articles.
Such a keen interest in the theory of forensic identification, and hence such an abundance of scientific papers in this area, can be explained by several reasons.
The theory of forensic identification historically turned out to be the first private forensic theory that acted not as a sum of separate theoretical constructions, but as a systematized knowledge, as an ordered system of concepts. Such a systematization opened up prospects for further research in this area, gave a visual representation of “blank spots”, unresolved problems, and thus made it relatively easy to determine the points of application of forces and attract these forces.
As the theory of forensic identification was formed, its important methodological role in forensic science and related fields of knowledge and its great practical importance became more and more obvious. This could not but stimulate interest in the problem on the part of an ever wider circle of the scientific community. To this it should be added that the philosophical understanding of the key issues of forensic science could not but affect the theory of forensic identification, which provided abundant material and opened up wide opportunities for applying the laws and categories of dialectics.
It seems to us that three stages can be distinguished in the development of the theory of forensic identification. The first stage, covering approximately a decade - from 1940 to 1950 - is the stage of formation of the general foundations of the theory, its initial provisions and principles. The second stage - from the beginning of the 50s to the end of the 60s - the formation, on the basis of the general provisions of the theory of forensic identification, so to speak, “object” theories of identification: forensic-trasological identification, forensic-graphic identification, etc. For the third period , which continues to the present, is characterized by both the revision, clarification and addition of some general provisions of the theory of forensic identification, as well as the continuation of the study of its particular applications. Attempts are made and substantiated to expand the range of objects of identification, the possibilities that open up with the use of new methods of identification are considered, its informational, evidentiary and logical aspects are studied. Intensive work is underway in the field of mathematization and cybernetization of the identification process itself.
The term "identification" (identification), used by A. Bertillon, is already found in the first works of Soviet criminologists. I. N. Yakimov in the works of 1924-25 writes about the identification of criminals, more willingly, however, using the term “identification”. E. U. Zitser among the goals of forensic technology called the identification of persons and objects appearing in investigative cases. In the works of N. P. Makarenko, A. I. Vinberg, B. M. Komarinets, B. I. Shevchenko and other authors, methods and stages of the process of identifying various objects were described.
It was an empirical way to solve a problem that has been central to forensic science since its early days as a science. And it was thanks to the successes achieved along this path, thanks to the abundance of accumulated empirical material, observations and practical conclusions from the everyday identification procedures, that the emergence of the theory of forensic identification became possible.
The beginning of the formation of the theory of forensic identification in domestic forensic science was laid by the article by S. M. Potapov “Principles of forensic identification”, published in the first issue of the journal “Soviet state and law” for 1940. The bibliography of the first period of development of the theory of forensic identification is as follows:
1946. - brochure S. M. Potapova “Introduction to Criminalistics” (published by the Military Law Academy of the Soviet Army);
1947- monograph B. I. Shevchenko “Scientific foundations of modern traceology” (published by the Moscow Law Institute);
1948- doctoral dissertation A . I. Vinberg “Fundamentals of Soviet forensic expertise” (Chapter I. “Logic in forensic expertise and the foundations of forensic identification (methodological principles)”);
1948. - article N. V. Terzieva “Identification in criminalistics” (Soviet State and Law, No. 12).
1949- monograph A. I. Vinberg "Basic principles of the Soviet forensic examination" (Gosjurizdat);
1949- textbook for law schools A. I. Vinberg and B. M. Shavera “Criminalistics” (Ed. 3rd, Gosjurizdat. § 3 ch. 1 “Basic principles of forensic identification”);
1950- chapter N. V. Terzieva “Identification in Soviet Forensic Science” in a textbook on forensic science for law schools (Gosjurizdat);
1950- tutorial A. I. Vinberg “Criminalistics” (§ 4 “Forensic Identification” of the first lecture. Ed. VLA of the Armed Forces of the USSR).
An analysis of these works allows us to conclude how the theory of forensic identification was presented by its founder S. M. Potapov and the authors of the first studies in this area after his work.
According to the concept of S. M. Potapov, the main provisions of the theory of forensic identification were as follows.
1. The main task and main goal of all forensic methods is to obtain forensic evidence of identity as a result of research called identification. The term “identification” is broader than the term “identification” in its content. The latter usually means an already established identity, "identity", while the former is a certain process of investigation that can lead to the conclusion of both the presence and absence of identity.
2. The identification method is a way of accurately recognizing objects and phenomena; it combines private forensic methods into a system and, in various types and forms of its application, is the very methodology of forensic research.
3. The basis of the identification method is the possibility of mentally separating signs from things and studying them as independent material. All kinds of material objects and phenomena, their genera and types, quantities and qualities, parts of space and moments of time, the human personality as a whole, its individual features, physical properties, mental abilities, external actions of a person and his mental acts can be subject to identification.
4. From the point of view of the subject and methods of identification, objects of three kinds are encountered in practice:
¨ a) objects in relation to which the issue of identity or lack of identity is decided directly by the investigator or the court;
¨ b) objects in relation to which the same issue is resolved with the help of any registration systems;
¨ c) objects in relation to which the solution of the same issue is achieved by an expert.
5. The principles of identification are:
¨ a) strict division of objects involved in the identification process into identifiable and identifying;
¨ b) division of identification objects into mutable and relatively unchanged;
¨ c) application of the most profound and detailed analysis of identification objects combined with synthesis;
¨ d) the study of each compared feature in motion, that is, the establishment of the dependence of the observed state of this property on the previous and accompanying conditions.
6. There are four forms of application of a single method of forensic identification: descriptive (signal), analytical, experimental, hypothetical.
Let us now try to trace how these provisions were perceived by the authors of the works that we attributed to the first period in the development of the theory of forensic identification.
B. I. Shevchenko, having put the conclusions of S. M. Potapov without any clarifications, as the basis of his theory of traceological identification, in relation to the content of the latter narrowed the circle of identifiable objects to three types: inanimate objects that have and are able to maintain a certain external structure, people and animals.
Serious criticism of the concept of S. M. Potapov was made by N. V. Terziev. Noting the merits of S. M. Potapov, he expressed his disagreement with his interpretation of the concept of identification, according to which “the framework of identification is moved so far that the concept of identification covers all cognitive acts. It turns out that any judgment, any research is an identification. This construction seems to us artificial and unnecessary. The concept of identification loses its clear meaning and becomes very vague.
N. V. Terziev rejected the statement of S. M. Potapov that identification is a special method of forensic science. “Identification,” wrote N. V. Terziev, “is neither a universal method in forensic science, nor a special method of this science, nor a method in general. The general method of Soviet criminology, like that of all our sciences, is the method of materialistic dialectics - the only general method of criminology. Identification is not a “special” method of forensic science, since identification in forensic science does not differ in principle from identification in other sciences - chemistry, physics, etc. Finally, it is doubtful that identification can be considered at all as a “method”, since it is the task of research.” The restriction of objects of identification by objects, people and animals, introduced by B. I. Shevchenko for traceological identification, was extended by N. V. Terziev to identification in general.
Disputing some provisions of the concept of S. M. Potapov, N. V. Terziev at the same time supplemented it with a characteristic of the meaning of group (genus and species) identification, indicating the options for the presence of an identifiable object in the implementation of the act of identification, gave a definition of samples for comparison and described the presented requirements for them, substantiated the existence of three types of identification: by mental image, by description or image, by traces or other social manifestations that reflect the properties of the identified object.
Many years later, these disagreements between S. M. Potapov and N. V. Terziev will serve as a pretext for I. D. Kucherov to declare them supporters of various concepts of identification: the first - a supporter of the psychological concept, the second - the formal-logical one. N. A. Selivanov wrote about this: “S. Potapov turned out to be the creator of the psychological concept of identification because he called identification a method of accurately recognizing objects and phenomena. For everyone who carefully read the works of this author, it is clear that he did not accidentally combine the word “recognition” with the word “exact”, meaning its broad meaning, which is indicated by the word “establishment”. I. Kucherov's statement that S. Potapov allegedly ignored the material prerequisites for recognition, namely, the interaction of objects and their reflection, is incorrect. It is enough to get acquainted with the well-known principles of identification proposed by S. Potapov in order to be convinced of the inconsistency of I. Kucherov's statement. The author absolutely unreasonably asserts the impossibility of further constructive development of the concept set forth by S. Potapov.” We share the opinion of N. A. Selivanov. The disagreements between S. M. Potapov and N. V. Terziev, as well as subsequent criticisms of other authors, were not such as to “separate” scientists according to different concepts of identification. We believe that both then and now we should talk about a single concept of identification based on a dialectical understanding of identity, which includes both a formal-logical moment and a materialistic idea of the process of identification. The ongoing theoretical disputes do not affect the very "core", the essence of this theory.
A. I. Vinberg in the mentioned works of that period supplemented the concept of S. M. Potapov with a description of the stages of the identification process in forensic examination, gave a detailed description of the types of forensic identification and emphasized that “a fixed identity does not exist, changes occur in the properties of objects, which, through analysis can be discovered and then investigated from the point of view of the patterns of their formation and development by means of observation and experiment.
At the second stage of its development, the theory of forensic identification was replenished with a number of general provisions, the most significant of which were as follows.
I. In the process of clarifying the concept of generic (species) identification, most authors leaned towards the need to replace this concept with another - “establishment of group membership”. The impetus for the revision of this concept was the remark of G. M. Minkovsky and N. P. Yablokov that the term “group identification” is incorrect, since “an object can only be identical to itself. In this case, we are talking about the belonging of an object to a certain group, that is, about its similarity with some other objects. Therefore, it is necessary to talk about the “establishment of group membership” (similarity, similarity).
Having accepted this remark made to him, N.V. Terziev wrote: “Some criminalists use the term “identification” in a broad sense, denoting both the establishment of a single object and the definition of group membership. At the same time, studies of the first type are called “individual”, and the second type - “group” identification. However, it is now more common in forensic science to limit the concept of identification to the establishment of an individual object. To designate the process of establishing group membership, M.V. Saltevsky even proposed a special term “groupification”, which, however, did not receive recognition and distribution.
At the same time, in the literature of this stage, in most cases it is noted that the difference in terminology - "identity establishment" and "group membership establishment" - does not mean that these processes are isolated, separated from each other. The establishment of group affiliation is considered in a general form as the initial stage of identification, and only in some cases - as an independent research process.
II. What S. M. Potapov called the principles of identification, upon closer examination, turned out to be either a classification of objects of study, or methods or conditions for correct thinking. On this occasion, A. I. Vinberg wrote: “It is necessary to critically review the system of so-called scientific principles of forensic identification established in forensic science ... All four so-called scientific principles of forensic identification formulated by S. M. Potapov, in essence, are not specific and inherent in the process of identification, but are indispensable conditions for the implementation of any scientific research in any field of science and technology. Obviously, without a scientific classification of objects in any science, without the use of correct thinking, analysis, synthesis, generalization, abstraction, without consideration of the studied phenomena in their interconnection, no scientific research can take place at all. It would be more correct to point to these conditions of scientific research as conditions applicable to forensic identification, and to abandon further attempts to build these conditions into specific principles of forensic identification.
III. Along with the types of identification proposed by N. V. Terziev, the concept of “form of identification” is used (V. Ya. Koldin).
Two forms of identification are distinguished - according to material-fixed mappings and according to sensually-concrete mappings. The first includes all cases of identification based on the traces of hands, feet, vehicles, tools and tools, etc., that is, on materially fixed reflections of the properties of the identified objects. To the second - cases of identification by displaying the identified objects in the memory of a person. Material-fixed mapping is always a direct object of study; sensually-concrete display is perceived indirectly - through the reproduction of images by the carrier of the display. The distinction between forms of identification underlies the methodology of forensic identification.
IV. The list of identification objects proposed by B. I. Shevchenko and N. V. Terziev (objects, people, animals) was called into question for a number of reasons.
Secondly, the generic concept of “objects” needed to be clarified. An object is any material body that is in any state of aggregation, possessing any degree of complexity. But can any material body be an object of identification? Here the opinions of criminologists are divided.
Proponents of one point of view came to the conclusion that only solid bodies with clearly expressed external features, i.e., can be classified as objects of identification. individually defined. “In relation to such objects as materials, fabrics, paints, ink, etc., in most cases, the very formulation of the question of the individual identity of the “object” is impossible. We can only talk here about the allocation of a certain volume or mass of material.
The authors, who hold a different point of view, included loose, liquid and gaseous bodies in the list of objects of identifiable objects. Along with the identification of an object divided into parts, the identification of a complex object now also appears by establishing the belonging of parts to it, as well as establishing the belonging of an object to a set.
v. The opinion was expressed that the attempt to consider all questions of identification only in the aspect of dialectical logic is wrong. “It seems to us,” wrote A. I. Vinberg, “that a significant mistake is the refusal to use the laws of formal logic in those matters of establishing a specific identity in which these laws should act ... Formal logic, being a part, a moment of dialectical logic, reflects the stability of objects, their qualitative certainty, which is the essence of the entire process of forensic identification, designed to prove the identity of this particular object...”
The indication that each object is equal only to itself and that it is precisely this equality, which from the point of view of dialectics is not dead and unchanged, that makes the identification of the object possible, did not at all mean the emergence of a special “formal-logical concept of identification” in contrast to other concepts. It was about the necessary clarification of the relationship between the dialectical and formal-logical concepts of identity and no more.
VI. The conceptual apparatus of the theory of identification has been expanded and enriched. V. Ya. Koldin proposed to distinguish among the identifiable objects the “sought” object, that is, the object whose properties are studied by mapping - material evidence, and the “verifiable” object, the properties of which are studied from samples or directly from the object submitted for examination. M. Ya. Segai introduced the concept of an identification connection. The terms “identification period”, “identification field” and others appeared.
VII. In the discussion about whether the identification process in forensic science has such qualities and features that allow us to talk about forensic identification, the concept of a positive solution to this issue gradually began to dominate.
In 1948, arguing with S. M. Potapov, N. V. Terziev categorically stated: “... In forensic science, identification in principle does not differ from identification in other sciences - chemistry, physics, etc.” M.Ya. Segay disagreed with this position and noted the characteristic features of identification in forensic science: the results of identification are forensic evidence, which leads to special requirements for the methodology of identification research; in criminalistics, unlike other sciences, it is important to establish not only identity, but also differences; the main task of identification in forensics is the identification of individually defined objects, which is very rare in other sciences; the limits of the study of group affiliation in forensic science are much wider than in other sciences, since random properties of an object are used in forensic science.
The arguments of M. Ya. Segai seemed to N. V. Terziev not convincing enough. Agreeing with the first of the arguments put forward by M. Ya. Segai, he challenged the rest and came to the conclusion that some features of the identification and establishment of group affiliation in forensic science, however, relate not only to this science, but also to related sciences: forensic medicine, forensic chemistry, etc. “If we talk about “criminalistic” identification, N.V. Terziev concluded, then it is more consistent to call it judicial identification.”
However, the controversy did not stop there. In 1961, AI Vinberg expressed his opinion on this matter. He wrote: “If in physics, chemistry, biology and other sciences, identification is a process designed to solve a predominantly purely technical problem facing one or another science, then in ... forensic science, the entire identification process is aimed at identifying specific facts that are important to establish the truth in the case under investigation. Thus, forensic identification, as well as the science of forensic science in general, serves primarily the goals of justice. This is an important and distinctive feature of forensic identification from identification in other sciences. In the same connection, there is another feature of forensic identification, which consists in the fact that the results of its implementation should be expressed in regulated procedural acts, outside of which the establishment of identity by forensic identification will not have the proper evidentiary value. That is why forensic identification should be considered as establishing the identity of an object when collecting and examining evidence during inspections, examinations and other procedural actions.
Although in later sources you can find the expression "identification in forensic science", more often they began to talk about forensic identification. Since this dispute is not just terminological, but fundamental, we will further try to formulate our point of view on this issue.
VIII. Along with the development of general problems of identification by material-fixed representations, the considered stage in the development of the theory of forensic identification is characterized by an in-depth study of the processes of identification by mental images. This aspect of the theory of identification, which is predominantly tactical in nature, was reflected mainly in works on the tactics of presenting for identification (G. I. Kocharov, P. P. Tsvetkov, A. Ya. Ginzburg, N. G. Britvich, A. N. Kolesnichenko) and partly in works on the tactics of other investigative actions - inspection, search, verification and clarification of testimony on the spot. This gave reason to A. I. Vinberg to write about the tactical foundations of forensic identification.
Denying the validity of the idea of forensic identification as a process that is entirely related to the study of material evidence in forensic examination and therefore considered only within the boundaries of forensic technology, A. I. Vinberg put forward the thesis that “the general doctrine of forensic identification should equally take its place in forensic tactics” and that “ignoring such a method of proof as identification is possible only with a disdainful attitude to the analysis of scientific means and the logical apparatus of proof”. He proposed to include in the content of the general provisions of forensic tactics the tactical foundations of forensic identification - the doctrine of identification in investigative work and identification signs taken into account by the investigator when establishing factual data.
An in-depth study of the tactical aspect of forensic identification required the use of data from psychology (A. R. Ratinov, V. E. Konovalova, A. V. Dulov), evidence theory (A. I. Vinberg, A. A. Eisman, R. S. Belkin ), modeling method (I. M. Luzgin). The general provisions of the theory of forensic identification began to be more fully realized in tactics. So, back in 1959, we proposed to include among the objects identified by identification by a mental image, in addition to objects, people and animals, such complex material formations as rooms and terrain. Received a theoretical justification for the possibility of establishing by identifying the group affiliation of objects.
In addition to the above, other adjustments and additions were made to the initial ideas about the content of the theory of forensic identification and its main provisions. In general, the outcome of the second stage in the development of the theory of forensic identification can be characterized by the words of M. Ya. Segai: “... In the twenty-five years that have passed since the publication of the work of S. M. development of the entire science of criminology and the achievements of the natural and technical sciences used by it, has risen to a qualitatively new level of development.
Since our study is mainly devoted to the consideration of controversial and undeveloped problems of forensic science, we do not consider it necessary to state the provisions of the theory of forensic identification, which have received general recognition at the present, third stage of the development of this theory and, in their entirety, represent its paradigm. An exception is the terminological apparatus of the theory of forensic identification: only the certainty of the semantic meaning of the terms used makes it possible to avoid the ambiguity of the thesis being proved and its substitution during the discussion.
7.2. Terminological apparatus
theory of forensic identification
| T |
the terminological apparatus of the theory of forensic identification was formed for the most part at the first stage of its development. The semantic meaning of many terms has not changed to the present day; some terms have acquired a new meaning due to changes in the definitions of the concepts they denote. Having in mind in the following presentation to trace the process of such changes, we give in this section only the original meaning of the term.
1. Forensic identification(S. M. Potapov, 1940) - a certain research process, as a result of which a conclusion can be made about the presence or absence of identity. S. M. Potapov saw the essence of forensic identification in the fact that “as a process, there is a comparative study of the signs of a thing that are mentally separated in the representation, but precisely those that determine its identity and distinguish it from all other things. The very method of such a study, which consists in separating signs and evaluating their significance for proving identity or lack of identity, is the method of forensic identification.
2. Objects of forensic identification(SM Potapov, 1940) are objects in relation to which “the question of identity or lack of identity is directly raised and resolved”, and objects that serve as material for solving this issue. The objects of forensic identification are divided into:
¨ Identified objects(S. M. Potapov, 1940), that is, those whose identification is the task of the identification process.
¨ Identifying objects(S. M. Potapov, 1940), that is, objects with the help of which this task is solved. Among them stand out:
Compared samples(S. M. Potapov, 1940) - objects specially selected or made for identification purposes. The term was subsequently clarified - samples for comparative study(N. V. Terziev, 1948), defined as “auxiliary identifying objects of known origin, used in identification for comparison”.
3. Identification features(B. M. Komarinets, 1946) - such generic and individual features of an identified object that can be displayed on an identifying object and therefore are used for identification.
4. Identification complex of features, a complex of identification features (A. I. Vinberg, 1956) - a set of individually defined, stable features that are unique in their ratio, location, relative position and other features in other objects.
5. Identification field(A. A. Eisman, 1967) - a certain system of properties of a thing, which is a direct object of identification.
In terms of semantic content, this term is close to the previous one and is practically used as a synonym for the term “complex of identification features”.
6. Identification link(M. Ya. Segai, 1966) - an objective connection between the objects of identification, due to "the interaction of people and things involved in the crime event, during which the properties of interacting objects are displayed." Differ:
¨ Direct identification link(M. Ya. Segai, 1966) - a direct connection between the desired object and the display of its identification properties.
¨ Reverse identification link(M. Ya. Segai, 1966) - a return reflection of the properties of the interacting object, perceived by the desired object.
7. Identification properties(V. Ya. Koldin, 1962) - properties selected in the trace of the desired object, serving to characterize it and make it possible to distinguish it from another, including a similar, object.
8. Identification period(V. P. Kolmakov, 1968) - a time interval that allows, taking into account the stability and variability of the features of the identified objects, to carry out the process of judicial identification.
9. Identification information(M. V. Saltevsky, 1965) - information about the identification features of identification objects.
10. Generic (group) identification(N. V. Terziev, 1945) - the establishment of an object as part of a certain object or as one of the species of a certain genus or the determination of an object's belonging to one class. As noted, subsequently, preference began to be given to the term “establishment of group affiliation”, which is used, as a rule, in the same sense.
11. Forms of identification, “forms of application of the identification method” (S. M. Potapov, 1946) - theoretical rules related to the conditions for the application of the identification method, “observance of which is essential in the relevant cases of practice in order to obtain reliable forensic evidence”. The author of the term named four forms of application of the identification method:
¨ descriptive(signaletic) - used for identification using registration systems and in the form of identification.
¨ Analytical- assignment of an object to a known species or genus.
¨ experimental- expert identification of the object according to its features reflected in the traces;
¨ Hypothetical- identification of an individually indefinite fact or set of facts as the cause of a cash result, carried out on the basis of life experience with the help of hypotheses.
The term subsequently became widespread both in its original and modified form (types of identification, methods of identification); the classification proposed by the author of the term was not accepted by either science or practice.
These are the basic terms of the theory of forensic identification in their original semantic meaning. In some cases, this meaning has changed or become the subject of discussion. It is to the consideration of some of these debatable questions that we turn.
7.3. Forensic identification
or identification in forensics?
| R |
Considering the state of the theory of forensic identification at the second stage of its development, we mentioned the discussion that began in those years about whether it can be considered that there is a specifically forensic identification or that identification in forensic science is no different from similar processes in other sciences. After statements on this subject by N. V. Terziev and M. Ya. Segaya, the opinion about the existence of judicial identification as a process that solves the problem of proof and is not limited to forensic science has become widely known.
This was actually a compromise solution to the problem, since, on the one hand, the existence of forensic identification was recognized, and on the other hand, together with it, identification processes in forensic medicine, forensic chemistry, etc. were put in the same classification series. Such a solution was hardly possible recognize as satisfactory, since it deprived of evidence the main argument of supporters of the existence of a specific forensic identification - obtaining forensic proof of identity, extending this result to all varieties of forensic identification. It is no coincidence that the discussion did not stop there.
The term identification comes from the Latin words iden - the same, identical and faceze - to do.
Therefore, to identify means to identify, establish that this is the same object (person, object), i.e.; that the detainee is the same person who was wanted for the crime committed; that the pistol confiscated from him during the search was the one from which the victim had been killed; that the leather coat and electronic watch found on the detainee belonged to the victim, etc.
Thus, forensic identification is the establishment of the uniqueness of an object by studying the totality of its features.
The theory of identification is one of the main ones in forensic science. Identification has a general theoretical significance for forensic techniques, tactics and methods, and finds the widest application in practice.
Solving the question of the presence or absence of identity allows you to establish:
1. The presence or absence of a connection of this object with the event under investigation, i.e. to establish, for example, that Kairbekov is the same person whose hand left a mark on the scene, or to establish that the gun found in the suspect's possession is the same weapon from which the bullet extracted from the corpse was fired.
Thus, the essence of forensic identification is to establish the presence or absence of the identity of material objects by their reflections.
2. Allows you to establish a number of important circumstances for the investigation, i.e. time and place of the crime.
3. Allows you to get the source material for building versions and a means of checking these versions.
Because of this, identification is most widely used in investigative and operational-search activities.
The task of forensic identification, which consists in the establishment of objects, follows from the principle of individualization of guilt and responsibility.
This principle is expressed in paragraph 1. Art. 8 of the Code of Criminal Procedure of the Republic of Kazakhstan, which determines that the objectives of the criminal process are the rapid and complete disclosure of crimes, the exposure and prosecution of those who committed them, a fair trial and the correct application of the criminal law.
Thus, the theory of forensic identification is a system of rules and concepts necessary to prove identity or its absence. Research when obtaining results opposite to positive identification is called differentiation.
Scientific bases of forensic identification.
Identification of objects is possible because a person and any of the objects have the following properties:
1. Individuality - difference from similar objects.
2. Relative stability, i.e. the ability to retain individuality for a certain time.
3. The ability to reflect this uniqueness when in contact with other objects.
4. The property to preserve the uniqueness of the object in its parts.
The combination of these properties creates a real opportunity to develop methods for identifying events, phenomena and facts that have gone into the past.
Let's take a closer look at each of these prerequisites.
Individuality (uniqueness) of objects of the material world.
Identification in criminalistics is based on the provisions of dialectical materialism and, first of all, on the fact that all objects and phenomena of the material world are individual, unique, identical only to themselves.
Identity is the equality of an object with itself in its various manifestations and states, its uniqueness and difference from any other objects, including those similar to itself.
Thus, in the world there are no two absolutely identical objects.
Arise once, any object, event or phenomenon interacts with the environment. As a result of such interaction, the object acquires new distinctive features. This process is continuous.
The knowledge of objective patterns, properties, conditions and processes under which exactly that very thing or that very phenomenon can be established is the subject of the theory of identification.
The identity of an object is determined by its features, which are understood as everything in which objects and phenomena are similar to each other or in what way they differ from each other.
A sign is an indicator, a sign, a mark, a sign, a feature by which you can recognize an object and distinguish it from other objects. For a thing, these are dimensions (as a whole and individual parts), weight, color, shape, material structure, surface microrelief and other features; for a person - the structure of the body, its appearance, the physiological characteristics of the body, the features of functional nervous activity, the psyche, behavior, skills, etc.
In forensic identification, signs are usually divided into two groups:
1. Signs of a group value;
2. Signs of individual value.
Under the signs of a group meaning, they mean the signs inherent in a certain group (genus, species) of objects - i.e. these are signs of similarity or how objects of the same type are similar to each other (for example, size, shape, weight, color, style, etc.).
The second group is signs of individual value. Speaking conditionally, these are signs of difference that can only be found in individual or few specimens of this group.
These signs are of identification value, because. they individualize objects, including objects of the same (and the same group, and together with the signs of a group meaning determine the identity of the object).
To identify an object, signs of both groups are necessary. Using the signs of a group value, we attribute the object to a group (for example, a Makarov pistol), and using individual signs, we identify a specific instance.
In forensic literature, there is also the concept of general and particular signs. General should be understood as signs that characterize the object as a whole, and private - signs related to various parts (details, elements) of the object.
The features of an object used for identification are called identification features. A unique combination of these features, which is the basis for resolving the issue of identity or its absence - an individual or identification set, the area of \u200b\u200bthe object containing this set is an identification field, and the period that has elapsed from the moment the object's display appeared until the moment the object was identified by this display is called the identification period .
In forensic research, the establishment of the uniqueness of an object most often occurs not directly by comparing it with other similar objects, but through the display of this object on other objects. The individuality of an object must be established by its trace (display).
Thus, the identity (individuality) of the phenomena of the material world is one of the main prerequisites that determines the possibility of identifying various kinds of objects according to the features that characterize these objects.
The relative stability of objects, which is understood as the property of an object to retain for some time a feature that expresses its individuality, i.e. its quality definition.
It is possible to identify an object only insofar as it remains itself, identical to itself. Meanwhile, it is known that all living and non-living objects are subject to change. Some properties change faster and more, others slower and less, some disappear, others reappear. The object remains itself, identical to itself as long as these changes concern only individual properties, as long as they are shallow and do not affect it as a whole. The identity of such an object, despite the indicated changes, can be established. When the changes have gone so far that the essence of the object has changed, its main properties have changed - the object ceases to be “itself”, it becomes “another object”.
The reasons for changing objects can be very diverse. In general, these changes can be the result of:
a) operation, cleaning, repair, etc.
b) exposure to atmospheric conditions or temporal changes;
c) intentional modification to make identification impossible.
The results of the study depend on a combination of the above reasons. The varying degrees of stability of objects should be taken into account by both investigators and experts when working with such objects.
So, in the forest, the corpse of a man was found, disguised with branches, the sections of which clearly showed traces in the form of tracks left by a chopping tool. A forensic specialist who participated in the examination determined that the tool could be identified from these traces. Conducted operational and investigative measures, a suspect was identified, who confessed that he committed the murder and tried to disguise the corpse with branches cut down with an ax. The ax was confiscated and sent for expert examination along with cut branches. After conducting research, the expert found that this is not the ax with which the branches were chopped. There was doubt about the veracity of the testimony of the suspect. In addition, cases of expert error are also known. Who should be preferred? Which of them is right? The expert turned out to be right, as it turned out later that the ax was sharpened again, the features displayed in the traces were destroyed, and from the point of view of the theory of identification, this is another subject.
Thus, relative stability, as one of the properties of most objects of the material world, as well as the possibility of a reliable analysis of their changes based on data from various sciences, is the second most important prerequisite for identifying objects according to their characteristics.
The ability of objects to display their uniqueness when in contact with other objects. It depends on:
a) the state of the object;
b) the state of the environment that perceives the trace;
c) display mechanism.
The more pronounced the individuality of the object, the more likely it is to display this individuality in the trace.
When establishing the identity of an object by its display, only those that do not disappear and remain unchanged by the time of research are used as identification features, i.e. are relatively stable and displayable. If a feature is not able to be displayed on another object, then it has no meaning for identification.
Identifiable objects made in one way, from one material, on one machine, are individualized by a combination of the smallest details, which may not be reflected in the trace. A direct study of boots just made on the same machines can easily reveal the differences between them. These differences will undoubtedly prove their uniqueness. It is not possible to establish the individuality of a new boot from its tracks, for example, on sand or earth, because the footprint will reflect only the general structure of the boot shape. It turns out to be impossible to achieve a result in such cases, not because the modern level of development of science does not allow revealing an individualized set of details, but because these features are not reflected at all in the trace. Therefore, in forensic identification, it is necessary to distinguish between closely related, but still different concepts: the individuality of an object and the ability of an object to display the individuality of its structure on the surface of another object. Any object of organic and inorganic nature is unique at all stages of its existence. However, not every object is able to display its individuality in a trace or other material environment.
Thus, the interconnection, interdependence of the objects of the material world, their ability to reflect their properties on others in the form of an individual set of outwardly manifested signs is the third prerequisite that creates the possibility of establishing identity.
When investigating crimes, it often becomes necessary to determine the connection of a person, object or other object with the event under investigation by traces and other reflections. For example, in the footprints of hands to establish who left these traces; find a car in the tracks of a vehicle, etc.
Forensic identification(from late Latin identifico - I identify) means establishing the identity of an object or person by a combination of general and particular features.
Identify (identify) an object- means, through a comparative study of mappings or fragments, to establish its identity to itself, at different points in time and in its different states.
Comparison- one of the methods of knowledge; the study of two or more objects of research in order to identify both common, unifying, and existing differences. Changes that cause differences can be naturally arising from the actions of some factor (for example, age-related changes in the signs of handwriting) and arising under the influence of reasons not related to the signs of the object; essential (indicating serious qualitative changes that radically changed the object) and insignificant (caused by a change in only some properties of the object, which remained essentially the same).
The identification and evaluation of differences between objects belonging to the same or different groups (kinds) in criminology and forensic science is called discrimination or differentiation. If a positive result of identification means the establishment of identity, then differentiation means its absence. Differentiation can also act as an independent task.
The term "forensic identification" is used in three meanings :
goal(task) and the result of the study itself;
process research as a system of actions performed in a certain sequence to solve the problem of identification;
theoretical concept(theory) about the general principles and methods of identifying material objects as a way of establishing the truth in the process (criminal, administrative, civil, arbitration).
Identity or Identity object means, first of all, its uniqueness, individuality, difference from other objects similar to it. The theory of forensic identification is based on doctrine of dialectical identity which proceeds from the recognition of individuality, uniqueness of the objects of the material world. We can talk about the presence of similar objects that are combined on the basis of similarity into classes, genera, species, but there cannot be two completely identical objects that coincide entirely. Forensic identification is one of the means that contribute to establishing the truth in legal proceedings.
Search and identification activities carried out by authorized persons in order to disclose and investigate the crime properly. It is aimed at establishing unknown material objects in their tracks and clarifying the connection of these communication objects with the event under investigation.
The specificity of identification in forensic science, in contrast to physics, chemistry, biology and other sciences, is that the purpose of forensic identification is individual identification, i.e. establishing the identity of a specific (single) object. Identification in other sciences is considered establishing a class, genus, kind, object. The object is “not the same”, but “the same”. The difference lies both in the very essence of the identification carried out, and in the forms in which it is carried out.
Basic conditions for forensic identification:
Individual certainty of objects;
The presence of stable features characterizing them;
Implementation of identification by displaying these features;
The use of identification in a forensic investigation of a case.
Forensic identification is carried out as in procedural(expert, investigative, judicial), and in non-procedural(during a preliminary study of objects, checks on records, in the course of operational-search activities) forms.
The term "identification" comes from the Latin word "identificare" - identical, the same and means establishing the identity of an object (person, thing, phenomenon, etc.). In its modern form, the definition of forensic science was proposed in 1987 by R.S. Belkin, this definition is the most successful, it fully and comprehensively reveals the concept of forensic science. “Criminalistics (from the Latin criminalis - criminal, relating to a crime) is a science that studies the patterns of preparing, committing and solving a crime, the occurrence and existence of its traces, collecting research, evaluating and using forensic evidence, as well as developing a system based on the knowledge of these patterns of special techniques, methods and means used during the preliminary investigation to prevent the disclosure and investigation of crimes, as well as when considering criminal cases in courts”1.
Having analyzed and brought together the two concepts of "criminology" and "identification", we can consider what "criminalistic identification" is - this is the process of establishing the identity of an object by comparative study of the group affiliation of specific objects in order to obtain forensic evidence. The term "forensic identification" is used in several meanings. First, they designate the goal (task) and the result of the study. The second meaning of the term is a characteristic of the identification process, i.e. systems of actions performed in a certain sequence.
And finally, the term "forensic identification" means a theoretical concept, including the doctrine of the general principles and methods of identifying material objects as a way of establishing the truth in a criminal, civil, administrative, arbitration case. Forensic identification is one of the main methods of establishing the truth in criminal proceedings, when it becomes necessary to identify the connection of the suspect, objects belonging to him and other objects with the event under investigation by the traces left and other material reflections. The essence of identification is to establish the specific object that left them by mappings. In this case, both the object and the mapping are understood quite broadly.
The first can be a person, items of his clothing, shoes, instruments of crime, vehicles and others2. Various traces, parts of objects, documents, photo, film, video images, mental images imprinted in human memory act as displays. To identify an object means to establish its identity to itself on the basis of the mappings formed by it. The identity of an object to itself testifies to its uniqueness. Forensic identification is based on the individual certainty of objects that have fairly stable characteristic features. Individuality is the uniqueness of an object, its identity, equality with itself. In nature, there are not, and cannot be, two objects identical to each other. The individuality of an object is expressed in the presence of a unique set of features that no other similar object has. Such signs for an object, thing are dimensions, shape, color, weight, material structure, surface topography and other signs; for a person - features of the figure, structure of the head, face and limbs, physiological features of the body, features of the psyche, behavior, skills, etc.
Since the objects of the material world are individual, identical to themselves, then they, therefore, are characterized by individual signs and properties. In turn, these signs of objects are displayed on other objects. The mappings, therefore, are also individual. On the other hand, all objects of the material world are subject to continuous changes (a person gets old, shoes wear out, etc.). For some, these changes occur quickly, for others slowly, for some the changes may be significant, while for others they may be insignificant. Although objects are constantly changing, they retain the most stable part of their features for a certain time, which allow identification. The property of material objects to maintain, despite changes, the totality of their characteristics is called relative stability. The next important prerequisite for forensic identification is the property of reflecting objects of the material world, i.e. their ability to reflect their features on other objects in various forms of mapping. Forensic identification consists in establishing the fact of identity by mutual comparison of the object and its display, sometimes using special samples (experimental bullets, cartridge cases, texts made by hand or on a typewriter, etc.). An obligatory element of identification is the clarification of the conditions of trace formation and the method of transferring the features of an object to a reflecting medium. Forensic identification is the process of establishing a single specific object according to its various representations from many other objects similar to it in order to investigate and prevent crimes4. It can be seen from the definition that, first of all, identification is a process of research.
Since it is a research process, then certain persons participate in it, who establish this single concrete object. They are usually called subjects of forensic identification. They can be various participants in the criminal process: an investigator, an interrogating officer, a judge, an expert, a victim, suspects, etc. Each of them solves the problem of identification in accordance with its procedural position and the means permitted by law. Each object has many properties and features (shape, size, color, composition, etc.). In forensic identification, not all properties and signs are studied, but mainly their external signs, features of the external structure of objects. These features of the external structure of objects under certain conditions are displayed on other objects. For example, printer features are displayed when a page is printed, a person's appearance features are displayed in the memory of another person, in a photograph, etc.
Thus, displays of objects exist in various forms, namely: - display in the form of mental images that arise in the minds of people as a result of visual or other perceptions (signs of a criminal in the memory of the victim, features of the sound of a shot). - display in the form of a description, drawings made at the time or after the visual perception of objects by the observed themselves or according to their testimony by other persons (investigator, artist, etc.) (orientation, subjective portraits). - display, as a fixation of the reproduction of the developed skills, for example, the skills of writing and handwriting in manuscripts, the way of criminal actions in the environment. - photographic displays and displays in the form of mechanical recordings of human speech, voice (phonograms). - display in the form of parts of objects and particles of matter (parts of a burglary tool, fragments of headlight glass at the scene). - display in the form of various types of traces (traces of hands, feet, hacking tools, vehicles). Depending on which display was used for identification, the type of identification itself is determined.
Both in theory and in practice of forensic identification, several forms of reflection are considered: materially fixed and ideal. The first form is materially fixed, associated with the imprinting of signs in the form of material traces and changes. These are traces of hands, feet, weapons, hacking tools, etc.; photo, film, video images of people, physical evidence, terrain, corpses, as well as drawings, plans, diagrams, drawings, verbal descriptions of forensic objects. The ideal form of display is subjective and consists in capturing the mental image of an object in the memory of a particular person. Identification by materially fixed mappings is usually carried out by an expert who can analyze the reflected features of the object and, on this basis, draw a conclusion about the presence or absence of identity. A prerequisite for identification is the study of two or more objects under study in order to establish not only common, unifying, but also distinguishing features. The analysis of differences is extremely important, because, in accordance with the provisions of dialectical logic, the identity of an object is changeable, mobile. Considering identity as a state of relative constancy, it is always necessary to ascertain what resulted in the established differences.
Their study makes it possible to determine the number of non-coinciding features, which does not exclude the conclusion that the object is identical to itself. Differences can be the result of a number of factors: changes in the structure of the object, its operating conditions, etc. They also have natural causes. So, over the years, a person's appearance gradually changes. Differences can also be caused by the deliberate actions of the perpetrator. Artificially created differences, if they significantly change the individual characteristics of the object, exclude the possibility of identification. The origin of differences may be necessary or accidental. In turn, they themselves are divided into: essential and non-essential. The former are expressed in such qualitative changes, when the thing has actually become different. Differences that are caused by a change in only some of the properties of an object that essentially remains itself are recognized as insignificant. Difficulties in establishing the properties of objects according to their characteristics come from the following: - limited amount of information displayed in traces; - unfavorable conditions for displaying properties during trace formation; - use by the attacker of methods of disguise and falsification of signs.
In the process of comparison, both coinciding and differing features of objects are revealed, it is established which of them prevail and whether the differing features are within the acceptable range. On this basis, a conclusion is made about identity or its absence. The opposite of identification is called differentiation. It can also be solved as an independent task if it is necessary to establish the difference between objects (ink, paper, etc.). When evaluating the results of a comparative study of objects, taking into account the nature of their differences, the quality and quantity of the latter, one of three conclusions is possible:
- 1 identity establishment;
- 2 statement of his absence;
- 3 impossibility of solving the identification problem
- 5. Identification of an object by its representations occurs in those cases when, along with the prevailing coincidences, there are also insignificant, explainable differences. On the contrary, obvious differences, indicating dissimilarity in the main, serve as the basis for differentiation. If, however, it is not possible to determine the nature of the differences and classify them as significant or insignificant, the conclusion follows about the impossibility of identification (differentiation). A direct comparison of objects and their mappings is far from always feasible. Formed as a result of contact interaction, the trace is a transformed display of the object, the bulges of which correspond to the depressions of the trace. So, the imprint of the stamp is mirrored to the text available on its cliché. Moreover, the display of the trace-forming surface may have a form that is not at all comparable with the object itself. In particular, when identifying by handwriting, it is not possible to compare the handwriting with the writing skills of the suspect. Therefore, samples for comparative research are needed. In this capacity, carriers of undoubted mappings of the features of the identified object are used. They must convey its external structure (handprints, casts of teeth); provide analysis of dynamic traces (sawing, drilling); make it possible to identify a person by displaying his internal characteristics (speech, handwriting, typewriter, computer skills). Taking into account the method and conditions for obtaining samples allows us to differentiate them into experimental and free ones. Samples obtained specifically for identification are considered experimental.
For example, a suspect, under the dictation of an investigator, performs a handwritten text and others. Free samples include those whose appearance is not associated with the commission and investigation of a crime. Their value is higher because they are usually more meaningful in terms of features and closer in time of origin to the object under study. Masses of substances and objects (paint, ink, fuels and lubricants, gunpowder, buckshot), samples of soil and objects of plant origin can appear as samples. The objects of forensic registration (bullets, cartridge cases, fingerprint cards, etc.) also serve as samples.
