Evaluating Likelihood Ratio (LR) for firearm evidence identifications in forensic science based on the Congruent Matching Cells (CMC) method.

Firearm evidence identification has been challenged by the 2008 and 2009 National Research Council (NRC) reports and by legal proceedings on its fundamental assumptions, its procedure involving subjective interpretations, and the lack of a statistical foundation for evaluation of error rates or other measures for the weight of evidence. To address these challenges, researchers of the National Institute of Standards and Technology (NIST) recently developed a Congruent Matching Cells (CMC) method for automatic and objective firearm evidence identification and quantitative error rate evaluation. Based on the CMC method, a likelihood ratio (LR) procedure is proposed in this paper aiming to provide a scientific basis for firearm evidence identification and a method for evaluation of the weight of evidence. The initial LR evaluations using two sets of 9mm cartridge cases' breech face impression images with different sample sizes, imaging methods and ammunition showed that for all the declared identifications of the tested 2D and 3D image pairs, the evaluated LRs for the least favorable scenario were well above an order of 106, which provides Extremely Strong Support for a prosecution proposition (e.g. a same-source proposition) in a Bayesian frame. The LR evaluations also showed that for all the declared exclusions of the tested 3D image pairs, the evaluated LRs for the least favorable scenario were above an order of 102, which provides Moderately Strong Support for a defense proposition (e.g. a different-source proposition) in a Bayesian frame.

Estimating error rates for firearm evidence identifications in forensic science.

Estimating error rates for firearm evidence identification is a fundamental challenge in forensic science. This paper describes the recently developed congruent matching cells (CMC) method for image comparisons, its application to firearm evidence identification, and its usage and initial tests for error rate estimation. The CMC method divides compared topography images into correlation cells. Four identification parameters are defined for quantifying both the topography similarity of the correlated cell pairs and the pattern congruency of the registered cell locations. A declared match requires a significant number of CMCs, i.e., cell pairs that meet all similarity and congruency requirements. Initial testing on breech face impressions of a set of 40 cartridge cases fired with consecutively manufactured pistol slides showed wide separation between the distributions of CMC numbers observed for known matching and known non-matching image pairs. Another test on 95 cartridge cases from a different set of slides manufactured by the same process also yielded widely separated distributions. The test results were used to develop two statistical models for the probability mass function of CMC correlation scores. The models were applied to develop a framework for estimating cumulative false positive and false negative error rates and individual error rates of declared matches and non-matches for this population of breech face impressions. The prospect for applying the models to large populations and realistic case work is also discussed. The CMC method can provide a statistical foundation for estimating error rates in firearm evidence identifications, thus emulating methods used for forensic identification of DNA evidence.

Evaluation of carbon nanotube probes in critical dimension atomic force microscopes.

The decreasing size of semiconductor features and the increasing structural complexity of advanced devices have placed continuously greater demands on manufacturing metrology, arising both from the measurement challenges of smaller feature sizes and the growing requirement to characterize structures in more than just a single critical dimension. For scanning electron microscopy, this has resulted in increasing sophistication of imaging models. For critical dimension atomic force microscopes (CD-AFMs), this has resulted in the need for smaller and more complex tips. Carbon nanotube (CNT) tips have thus been the focus of much interest and effort by a number of researchers. However, there have been significant issues surrounding both the manufacture and use of CNT tips. Specifically, the growth or attachment of CNTs to AFM cantilevers has been a challenge to the fabrication of CNT tips, and the flexibility and resultant bending artifacts have presented challenges to using CNT tips. The Korea Research Institute for Standards and Science (KRISS) has invested considerable effort in the controlled fabrication of CNT tips and is collaborating with the National Institute of Standards and Technology on the application of CNT tips for CD-AFM. Progress by KRISS on the precise control of CNT orientation, length, and end modification, using manipulation and focused ion beam processes, has allowed us to implement ball-capped CNT tips and bent CNT tips for CD-AFM. Using two different generations of CD-AFM instruments, we have evaluated these tip types by imaging a line/space grating and a programmed line edge roughness specimen. We concluded that these CNTs are capable of scanning the profiles of these structures, including re-entrant sidewalls, but there remain important challenges to address. These challenges include tighter control of tip geometry and careful optimization of scan parameters and algorithms for using CNT tips.

Automatic identification of bullet signatures based on consecutive matching striae (CMS) criteria.

The consecutive matching striae (CMS) numeric criteria for firearm and toolmark identifications have been widely accepted by forensic examiners, although there have been questions concerning its observer subjectivity and limited statistical support. In this paper, based on signal processing and extraction, a model for the automatic and objective counting of CMS is proposed. The position and shape information of the striae on the bullet land is represented by a feature profile, which is used for determining the CMS number automatically. Rapid counting of CMS number provides a basis for ballistics correlations with large databases and further statistical and probability analysis. Experimental results in this report using bullets fired from ten consecutively manufactured barrels support this developed model.

Selecting Valid Correlation Areas for Automated Bullet Identification System Based on Striation Detection.

Some automated bullet identification systems calculate a correlation score between two land impressions to measure their similarity. When extracting a compressed profile from the land impression of a fired bullet, inclusion of areas that do not contain valid individual striation information may lead to sub-optimal extraction and therefore may deteriorate the correlation result. In this paper, an edge detection algorithm and selection process are used together to locate the edge points of all tool-mark features and filter out those not corresponding to striation marks. Edge points of the resulting striation marks are reserved and expanded to generate a mask image. By imposing the mask image on the topography image, the weakly striated area(s) are removed from the expressed profile extraction. Using this method, 48 bullets fired from 12 gun barrels of six manufacturers resulted in a higher matching rate than previous studies.

Striation density for predicting the identifiability of fired bullets with automated inspection systems.

Automated firearms identification systems will correlate a reference bullet with all evidence bullets without a selection procedure to exclude the bullets having insufficient bullet identifying signature. Correlations that include such bullets increase the workload and may affect the correlation accuracy. In this article, a parameter called striation density is proposed for determining and predicting bullet identifiability. After image preprocessing, edge detection and filtering techniques are used to extract the edges of striation marks, the resulting binary image distinctly shows the amount and distribution of striation marks. Then striation density is calculated for determining the quality of images. In the experiment, striation densities for six lands of 48 bullets fired from 12 gun barrels of six manufactures are calculated. Statistical results show strong relation between striation density and identification rate. It can provide firearms identification systems with a quantitative criterion to assess whether there are sufficient striae for reliable bullet identification.

Pilot study of automated bullet signature identification based on topography measurements and correlations.

A procedure for automated bullet signature identification is described based on topography measurements using confocal microscopy and correlation calculation. Automated search and retrieval systems are widely used for comparison of firearms evidence. In this study, 48 bullets fired from six different barrel manufacturers are classified into different groups based on the width class characteristic for each land engraved area of the bullets. Then the cross-correlation function is applied both for automatic selection of the effective correlation area, and for the extraction of a 2D bullet profile signature. Based on the cross-correlation maximum values, a list of top ranking candidates against a ballistics signature database of bullets fired from the same model firearm is developed. The correlation results show a 9.3% higher accuracy rate compared with a currently used commercial system based on optical reflection. This suggests that correlation results can be improved using the sequence of methods described here.

An Iterative Image Registration Algorithm by Optimizing Similarity Measurement.

A new registration algorithm based on Newton-Raphson iteration is proposed to align images with rigid body transformation. A set of transformation parameters consisting of translation in x and y and rotation angle around z is calculated by optimizing a specified similarity metric using the Newton-Raphson method. This algorithm has been tested by registering and correlating pairs of topography measurements of nominally identical NIST Standard Reference Material (SRM 2461) standard cartridge cases, and very good registration accuracy has been obtained.

A moving window correlation method to reduce the distortion of scanning probe microscope images.

Many scanning probe microscopes such as the scanning tunneling microscope and atomic force microscope use piezoelectric actuators operating in open loop for generating the scans of the surfaces. However, nonlinearities mainly caused by hysteresis and drift of piezoelectric actuators reduce the positioning accuracy and produce distorted images. A moving window correlation method is proposed in this paper to determine and quantify the hysteresis. This method requires both trace and retrace profiles to be recorded. With a window imposed on each of the profiles, correlations are implemented between the data inside two windows to find corresponding pixel pairs on two different profiles but the same physical positions along the fast scanning axis (x). The x-distances between pixel pairs are calculated and then a simple correction scheme is applied to reduce the distortion.

Characterization of Probe Dynamic Behaviors in Critical Dimension Atomic Force Microscopy.

This paper describes a detailed computational model of the interaction between an atomic force microscope probe tip and a sample surface. The model provides analyses of dynamic behaviors of the tip to estimate the probe deflections due to surface intermittent contact and the resulting dimensional biases and uncertainties. Probe tip and cantilever beam responses to intermittent contact between the probe tip and sample surface are computed using the finite element method. Intermittent contacts with a wall and a horizontal surface are computed and modeled, respectively. Using a 75 nm Critical Dimension (CD) tip as an example, the responses of the probe to interaction forces between the sample surface and the probe tip are shown in both time and frequency domains. In particular, interaction forces between the tip and both a vertical wall and a horizontal surface of a silicon sample are modeled using Lennard-Jones theory. The Snap-in and Snap-out of the probe tip in surface scanning are calculated and shown in the time domain. Based on the given tip-sample interaction force model, the calculation includes the compliance of the probe and dynamic forces generated by an excitation. Cantilever and probe tip deflections versus interaction forces in the time domain can be derived for both vertical contact with a plateau and horizontal contact with a side wall. Dynamic analysis using the finite element method and Lennard-Jones model provide a unique means to analyze the interaction of the probe and sample, including calculation of the deflection and the gap between the probe tip and the measured sample surface.

Three-dimensional image correction of tilted samples through coordinate transformation.

In scanned probe measurements of micrometer- or nanometer-scale lines, it is nearly impossible to maintain the sample in a perfectly level position, and even a small amount of tilt can contribute to the accuracy of the result of the measure such as linewidth or step height. The current practice in image processing to deal with this problem is to conduct a line-by-line analysis to find the best fit of the substrate profile and subtract this background from all data points, thus describing 3D plane turns as a series of lines and processing them in succession in the x- or y-direction. In this paper a coordinate transformation method is proposed. The new coordinate system can be established on the basis of the inclined angle of the sample as well as the translation of three axes between the old coordinate system and the new coordinate system. The method can mathematically derive and hence correct all tilts around the x-, y- and z-axes and produce a leveled image simultaneously. Feature dimensions such as width, height, sidewall angle and pitch are calculated on the basis of simulated images using the coordinate transformation method and other methods. The result shows the advantage of the proposed method.

Computational models of a nano probe tip for static behaviors.

It is difficult to predict the measurement bias arising from the compliance of the atomic force microscope (AFM) probe. The issue becomes particularly important in this situation where nanometer uncertainties are sought for measurements with dimensional probes composed of flexible carbon nanotubes mounted on AFM cantilevers. We have developed a finite element model for simulating the mechanical behavior of AFM cantilevers with carbon nanotubes attached. Spring constants of both the nanotube and cantilever in two directions are calculated using the finite element method with known Young's moduli of both silicon and multiwall nanotube as input data. Compliance of the nanotube-attached AFM probe tip may be calculated from the set of spring constants. This paper presents static models that together provide a basis to estimate uncertainties in linewidth measurement using nanotubes. In particular, the interaction between a multiwall nanotube tip and a silicon sample is modeled using the Lennard-Jones theory. Snap-in and snap-out of the probe tip in a scanning mode are calculated by integrating the compliance of the probe and the sample-tip interacting force model. Cantilever and probe tip deflections and points of contact are derived for both horizontal scanning of a plateau and vertically scanning of a wall. The finite element method and the Lennard-Jones model provide a means to analyze the interaction of the probe and sample and measurement uncertainty, including actual deflection and the gap between the probe tip and the measured sample surface.

Discrepancies between roughness measurements obtained with phase-shifting and white-light interferometry.

Discrepancies between phase-shifting and white-light interferometry have been observed in step-height and surface roughness measurements. The discrepancies have a strong relation to the roughness average parameter of the surface. The skewing effect, which mainly occurs in the vicinity of peaks, valleys, and edges of the sample, causes this problem in white-light interferometry of step height. For roughness, two possible sources of the discrepancy are considered.

NIST bullet signature measurement system for RM (Reference Material) 8240 standard bullets.

A bullet signature measurement system based on a stylus instrument was developed at the National Institute of Standards and Technology (NIST) for the signature measurements of NIST RM (Reference Material) 8240 standard bullets. The standard bullets are developed as a reference standard for bullet signature measurements and are aimed to support the recently established National Integrated Ballistics Information Network (NIBIN) by the Bureau of Alcohol, Tobacco and Firearms (ATF) and the Federal Bureau of Investigation (FBI). The RM bullets are designed as both a virtual and a physical bullet signature standard. The virtual standard is a set of six digitized bullet signatures originally profiled from six master bullets fired at ATF and FBI using six different guns. By using the virtual signature standard to control the tool path on a numerically controlled diamond turning machine at NIST, 40 RM bullets were produced. In this paper, a comparison parameter and an algorithm using auto-and cross-correlation functions are described for qualifying the bullet signature differences between the RM bullets and the virtual bullet signature standard. When two compared signatures are exactly the same (point by point), their cross-correlation function (CCF) value will be equal to 100%. The measurement system setup, measurement program, and initial measurement results are discussed. Initial measurement results for the 40 standard bullets, each measured at six land impressions, show that the CCF values for the 240 signature measurements are higher than 95%, with most of them even higher than 99%. These results demonstrate the high reproducibility for both the manufacturing process and the measurement system for the NIST RM 8240 standard bullets.