Lending An Ear in The Courtroom Forensic Acoustics PDF
Lending An Ear in The Courtroom Forensic Acoustics PDF
Lending An Ear in The Courtroom Forensic Acoustics PDF
22 | Acoustics Today | Summer 2015 , volume 11, issue 3 2015 Acoustical Society of America. All rights reserved.
Germanwings Flight 9525 that crashed in
the French Alps in March 2015. Forensic
acoustics comes into play also when there
is a dispute about the likelihood that an
acoustical product presents a hearing
hazard or interferes with the audibility of
an aural emergency notification alarm.
The domain of forensic acoustics even
includes forensic musicology for cases of
alleged copyright infringement of musi-
cal style and intellectual property (Be-
gault et al., 2014). The impact of forensic Figure 2. Example of a forensic audio recording, with manual annotation, displayed with
musicology was evident in the recent suc- a sound software package. It depicts the amplitude vs. time waveform of approximately one
minute of audio recorded at an emergency dispatch center and includes utterances from the
cessful litigation award of US$7.4 million land mobile radio system and the local voice of the dispatcher. Figures like this allow experts
in damages a court ruled must be paid in forensic acoustics inform and educate attorneys and "triers of fact" (e.g., judge, jury,
by entertainers Robin Thicke and Phar- designated administrator) who are likely inexperienced with forensic audio interpretation.
rell Williams to the heirs of the late singer
Marvin Gaye.
Despite its occasional high profile, forensic science has come interpretation of tangible audio recordings, forensic acous-
up against some serious scrutiny and soul searching in re- tics may also treat questions of audibility in the context of
cent years, including an influential 2009 report from the litigation or criminal prosecution, such as civil annoyance
US National Research Council that criticized many forensic complaints from an outdoor performance venue, noise lev-
fields, including audio forensics, for lacking scientific evalu- els produced by takeoffs and landings at an airport that vio-
ation of reliability and error rates (National Academy of Sci- late local statutes, or whether or not a scream or other sound
ences, 2009). Thus, it is increasingly important that the sci- was likely to have been detectable under the circumstances
ence in forensic investigations be based on unquestionably claimed by an ear witness.
objective interpretation and not merely subjective opinions, Forensic acoustics experts who deal with recorded evidence
as has sometimes been the case. are most often consulted about three concerns: authenticity,
I begin with a description of several key elements, terms, and enhancement, and interpretation (Maher, 2010).
historical origins of forensic acoustics, primarily in terms of Authenticity denotes the acceptance of a recording as being
the judicial system in the United States. Next, I consider the unaltered and true to its source and chain of custody. Crim-
challenge of determining authenticity in the age of digital inal and civil cases may hinge on a dispute about the cir-
data storage and the corresponding opportunities present- cumstances under which a recording was made and whether
ed by the increasingly wide deployment of audio recording audible material in the recording could have been deleted,
apparatus in memo recorders, digital cameras, and virtu- added, or otherwise edited after the fact (Koenig 1990; Au-
ally every contemporary smartphone. Finally, I sum up the dio Engineering Society, 2000).
field by mentioning areas in which interested members of
the Acoustical Society of America (ASA) can get involved to Enhancement involves signal-processing techniques that at-
provide new and innovative research that will help advance tempt to improve the intelligibility of speech, the clarity of
forensic acoustics. specific background sounds, or the overall signal-to-noise ra-
tio of the recording. Modern enhancement techniques use a
high-quality digital copy of the original recording so the origi-
What Is Forensic Acoustics?
nal recording medium is used only to obtain the work copy for
Forensic acoustics, or audio forensics, is the specialty field
enhancement (Musialik and Hatje, 2005; Koenig et al., 2007).
of acoustics and audio engineering that deals with the ac-
quisition, analysis, and evaluation of audio recordings that Finally, interpretation refers to the description of the acous-
are to be presented as evidence in an official inquiry or in a tical evidence in words, pictures, statistics, and graphs that
court of law (Maher, 2009). In addition to the analysis and help address investigative questions, explain the sequence
Summer 2015 | Acoustics Today | 23
Forensic Acoustics
of acoustical events, and educate the attorneys, defendants, 1958): Current advances in the technology of electronics
judges, and juries about the meaning, significance, and limi- and sound recordings make inevitable their increased use
tations of the recorded evidence (Audio Engineering Soci- to obtain and preserve evidence possessing genuine proba-
ety, 1996; Maher, 2009). Figure 2 depicts an interpretive an- tive value. Courts should deal with this class of evidence in
notation that has been added to a time waveform to assist a manner that will make available to litigants the benefits
with an investigation. of this scientific development. Safeguards against fraud or
other abuse are provided by judicial insistence that a proper
Forensic Acoustics and the US Courts foundation for such proof be laid.
Audio forensics traces its origins to the development of por-
[]A review of the authorities leads to the conclusion that,
table recording equipment, and examples of the use of audio
before a sound recording is admitted into evidence, a foun-
recordings in US courts date to the mid-1950s. Although the
dation must be established by showing the following facts:
courts generally began to accept the unique importance of
(1) that the recording device was capable of taking the con-
audio recordings, especially in cases involving speech ob-
versation now offered in evidence; (2) that the operator of
tained via clandestine surveillance or wiretaps, there were
the device was competent to operate the device; (3) that the
significant considerations regarding the Fourth Amend-
recording is authentic and correct; (4) that changes, addi-
ments protections against unreasonable searches and sei-
tions or deletions have not been made in the recording; (5)
zures and concern about the legal admissibility of a record-
that the recording has been preserved in a manner that is
ing as being a bona fide representation of the sonic events
shown to the court; (6) that the speakers are identified; and
actually present during the recording process.
(7) that the conversation elicited was made voluntarily and
The McKeever Case in good faith, without any kind of inducement.
Among the key cases in the US federal court system regard-
ing the admissibility of audio forensic evidence is United Since the early 1960s, US Federal Bureau of Investigation
States v. McKeever (1958). In the McKeever case, two de- (FBI) laboratories have developed techniques and proce-
fendants were indicted for extortion in an antiracketeering dures for assessing the authenticity and audible contents of
prosecution involving the International Longshoremens forensic audio recordings obtained from law enforcement
Association. After his indictment, the defendant McKeev- investigations, and similar capability has been instituted
er had arranged to make a surreptitious tape recording of in other public and private forensic acoustics labs around
a conversation he had with an individual who later was a the world (Koenig, 1990). As described in Modern Audio
witness in the trial. During the trial, McKeevers defense Forensics: Digital Good and Digital Bad, tenet 3, au-
team sought to challenge under cross-examination the wit- thenticity determination, has become more difficult in our
ness testimony by playing a portion of the clandestine tape era of read/write digital recording and computer processing
recording to refresh the witness recollection. The court al- compared with the historic reliance on physical analog mag-
lowed the tape to be played but only via headphones so that netic tapes.
the witness could hear it but not the jury. When the defense
Forensic Acoustics and Watergate
then sought to have the recording played in court so that
A significant turning point in the practice of forensic acous-
the jury also could hear it, the prosecution objected to the
tics in the United States occurred 15 years after McKeever
use of the tape because its admissibility as evidence had not
during the Watergate scandal. In 1971, late in his first term
been established. Specifically, the court had to address the
in office, President Richard Nixon directed the Secret Ser-
fact that the recording was obtained secretly out of court, the
vice to install audiotaping systems in the Oval Office and
participants were not sworn, the witnesses disputed whether
the Cabinet Room of the White House, in the presidents
or not they recognized even their own voices, and the legal
private office in the Executive Office Building (EOB) next
chain of custody had not been demonstrated to ensure ad-
to the White House, and at Camp David, the presidents re-
missibility of the audio evidence.
treat in rural Maryland. The existence of these recording
The court examined these questions and considered a num- systems was known only to a select group of individuals
ber of prior federal court rulings, then established what the and to the Secret Service (Nixon Presidential Library and
forensic acoustics community now refers to as the Seven Museum, 2015). President Nixon presumably assumed that
Tenets of Audio Authenticity (United States v. McKeever, the recording system's existence would be of interest to no
24 | Acoustics Today | Summer 2015
one other than presidential biographers and historians af- to make the original recording (Advisory Panel on White
ter he left office. However, it quickly turned into a political House Tapes, 1974).
and legal bombshell of historic proportions in 1973 when
The procedures employed by the Advisory Panel became the
White House aide Alexander Butterfield revealed during his
standard for audio forensic investigators: (1) examine the
congressional testimony that there were secret audiotape
physical tape, reels, and structural housing, documenting
recordings of conversations between the President and his
their characteristics, total length, and mechanical integrity;
advisors! After all, this was in the midst of the Watergate
(2) verify that the recording is complete and continuous and
investigation and the widespread public concern about the
does not exhibit any erasures, splices, or stop/start sequenc-
veracity of various White House officials who had testified
es; (3) listen carefully and critically to the entire tape; and
before Congress and in federal court. President Nixon even-
(4) use nondestructive signal processing as needed for intel-
tually agreed to release edited transcripts of the various con-
ligibility enhancement.
versations recorded by the secret taping system and later the
tapes themselves.
Modern Audio Forensics: Digital
In 1974, interest turned to a particular recording of a con- Good and Digital Bad
versation between President Nixon and his Chief of Staff H. For a few decades after Watergate, the discipline of acousti-
R. Haldeman recorded in 1972 in the EOB. The investigators cal forensics revolved around two common requests: estab-
were suspicious that the recorded conversation included re- lish the authenticity of a tape recording and identify the talk-
marks about the Watergate cover-up, but when the record- ers whose utterances are audible in the recording. The work
ing was examined, the investigators discovered that 18 generally focused on analog audio because up until recently,
minutes of the recording were obliterated by an unexplained the most frequently encountered recording medium in fo-
gap consisting of audible buzz sounds but no discernable rensic cases was analog tape.
speech. Investigators suspected that someone had deliber-
Analog magnetic tape had a variety of drawbacks including
ately erased or recorded over that section of the tape to de-
comparatively poor signal quality, stability, and storage ca-
stroy the originally recorded conversation, perhaps with the
pacity. However, as found with the 18-minute gap in the
intention of eliminating incriminating remarks.
Watergate tape, the physical medium itself could provide
John J. Sirica, Chief Judge of the US District Court for the useful forensic information about edits, splices, stop/start/
District of Columbia, determined that the potentially altered erase sequences, and other alterations affecting authentic-
tape required expert analysis beyond the routine capability ity. Our contemporary digital recorders can provide much
of the court (McKnight and Weiss, 1976). He requested that greater quality, stability, and storage capacity, but the ability
the Watergate Special Prosecutor and the counsel for the to read, alter, and resave the contents of a digital bitstream
president jointly nominate a group of six outside technical and even to manipulate the files date and other file system
experts (including several ASA members) to form a special data without leaving a physical trace in the flash memory
Advisory Panel on White House Tapes to study relevant or computer disk file has caused serious concern about our
aspects of the tape and the sounds recorded on it (Advisory ability to authenticate digital audio forensic recordings. If a
Panel on White House Tapes, 1974). forensic examiner cannot detect any evidence of tampering,
it is still conceivable that the digital data could have been
The Advisory Panel analyzed the physical tape itself and the
manipulated in some undetectable manner.
electrical signals observed on playback and, ultimately of
greatest importance, performed magnetic development us- One proposed approach to address digital audio authenticity
ing ferrofluid to reveal latent magnetic domain patterns on is based on detection of a tell-tale hum in the recording due
the tape and the magnetization signatures of the recording to interference from alternating current (AC) power leak-
and erase heads installed in the tape recorders known to be ing into the audio recording (Grigoras, 2005; Cooper, 2008).
present in the White House. The magnetic development of The electrical network frequency (ENF) of the AC power
the tape led the Advisory Panel to the conclusion that the grid actually varies slightly from its nominal 60-Hz (US) or
18-minute gap consisted of several overlapping start-stop 50-Hz (Europe) frequency by a time-varying deviation that
erasures performed with a specific tape recorder available depends on the instantaneous balance between power gen-
in the White House but not the same device that was used eration and consumption on the grid, which fluctuates from
Sciences pointed out many areas of concern (National Acad- was left by someone other than the suspect, which would
emy of Sciences, 2009). depend on the probability that someone else with the same
size and type of boots could have left the print at the crime
For example, voice comparison is a common and important
scene. If only 1 person in 100 owned that particular size and
forensic request. An audio recording contains an utterance
type of boot in the local population, the naive probability of
that the prosecution claims is the voice of the defendant
observing the bootprint if someone other than the suspect
while the defense denies that allegation and claims that the
was at the crime scene would be approximately 1/100, and
recorded speech was not the voice of the accused but was
so the LR in this example is 1/(1/100) or 100. Note that the
uttered by someone else. For many years, the common ap-
LR is not in and of itself an objective way to establish guilt.
proach was for an expert in speech analysis to employ the
The LR formulation needs to be interpreted as the statisti-
aural-spectrographic method, which entails recording the
cal increase in belief in a match to the suspect based on the
defendant reading a script version of the words spoken in
particular evidence. Thus, the LR must be multiplied by the
the evidentiary recording. The expert then compares the
odds of guilt that are established based on other evidence
sound and the visual spectrogram of the evidentiary record-
and testimony in the case (Perlin, 2010).
ing and the defendants exemplar recordings and renders
an opinion regarding the degree to which the defendants ex- A common difficulty for forensic examination is that the evi-
emplar recordings match the evidence. The problem is that dence is distorted, noisy, smeared, or otherwise incomplete.
the method of matching the recordings has traditionally Determining the degree to which a smudged fingerprint
been highly subjective and therefore subject to mistakes and matches a particular record in a fingerprint database or the
unconscious bias (Bolt et al., 1970; National Academy of Sci- degree to which a recorded utterance matches an exemplar
ences, 1979; Poza and Begault, 2005). recording ultimately requires discussion of the scientific
models and assumptions used.
Due in large part to the increasing use of statistically strong
DNA evidence in crime investigation, the acoustical foren-
Conclusions
sics field has motivation to move toward the use of likeli-
Forensic acoustics is an interesting specialty field that lies
hood ratio (LR) calculations as a way to deal systematically
between the scientific world and the legal world. Although
with the uncertainties present in acoustical comparisons
the world of science is accustomed to the process of develop-
(Morrison, 2011). The LR is a way to consider two compet-
ing new theories and practical techniques that are gradually
ing hypotheses pertaining to a particular event by assessing
tested, refined, and modified incrementally through new
the probability of an observation of the event given each of
experiments, publications, and peer review by fellow scien-
the hypotheses (Perlin, 2010; Lindley, 2014). Specifically, the
tists and engineers, the legal world revolves largely around
LR is the probability of an observation being made given
precedent and the need for judges and juries to make final
that the suspect is, in fact, the perpetrator (the prosecution
decisions in a reasonable and quick manner. Members of the
hypothesis) divided by the probability of the same observa-
ASA are encouraged to become involved in improving the
tion being made but that the perpetrator is, in fact, someone
reliability and flexibility of acoustic forensic science, thereby
other than the suspect (the defense hypothesis).
enabling law enforcement, judicial, and accident investiga-
tion professionals to work with increased scientific assur-
(1)
ance and confidence.
Consider the hypothetical situation in which a particular
bootprint is observed at a crime scene and a suspect is found Biosketch
who is wearing boots that "match" the observed print to a
reasonable degree of scientific certainty. The prosecutors hy- Rob Maher is Professor and Depart-
pothesis is that the suspect is the perpetrator, so the numera- ment Head of Electrical and Computer
tor of the LR has probability 1. In other words, if the prose- Engineering at Montana State Univer-
cution hypothesis is correct that the suspect was at the scene sity in Bozeman. He holds a BS degree
while wearing the boots, the probability is 1 that the particu- from Washington University in St.Lou-
lar bootprint would be observed. Meanwhile, the denomi- is, a MS degree from the University of
nator addresses the defense hypothesis that the bootprint Wisconsin-Madison, and a PhD from