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Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Index

A

Accountability and public scrutiny, 11, 49

Adenine, 12, 61, 214

Admissibility of DNA evidence, 3

balancing factors, 174

calculation of profile frequency and, 185

cases and statutes, 205-209

ceiling principles, 188-192

convenience sampling, 188

DQA test, 169 n.8, 174 n.18, 190 n.74, 192

general-acceptance test, 171-172, 173, 175 n.24, 178, 180

helpfulness standard, 173

by jurisdiction, 205-211

laboratory standards and, 41, 185

likelihood ratios, 190, n.74, 200-202

PCR-based profiles, 175, 176 n.27, 177 n.30, 187

product-rule estimates, 187, 191 n.78

proficiency-test statistics, 185

profile frequency data, 185-192

qualitative estimates, 193-195, 200

quantitative estimates, 193

relevance standard, 175 n.24

sound methodology standard, 171, 172-173, 178, 191

standards of proof, 166-167

trends in, 36-37, 41, 73, 174-176

VNTR profiling, 174 n.18, 176-177, 178, 188

African Americans, see Black populations

Alabama, 205, 210

Alaska, 205, 210

Alleles

defined, 14, 15, 63, 65 214

DQA locus, 90

frequencies, 20, 21, 25, 90, 97, 101, 109, 186, 187

interindividual variability, 21, 148-154

interpopulation variability, 5-6, 21, 90

low-frequency (rare), 20-21, 148, 154

notation for, 21, 90

American Board of Criminalistics, 79

American Indian populations, 39, 111, 121, 123, 127, 154, 158, 168 n.6, 191 n.78

American Society of Crime Laboratory Directors/Laboratory Accreditation Board (ASCLD-LAB), 4, 24, 37, 77-78, 79, 85

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Arizona, 191 n.78, 205, 210

Arkansas, 206, 210

B

Base pairs, 12-13, 14, 61-62, 65 214

Bayes' theorem, 32-33, 131-133, 164-165, 201

Behavioral research, 8, 42, 199, 203-204

Binning, see VNTR typing

Black populations

allelic frequencies, 22, 90, 91, 92, 95, 112

databases, 93 n.2, 127

STR diversity, 119

geographic variability, 149-150

HW proportions, 93, 104

likelihood ratios, 115-116

linkage disequilibrium in, 27, 111

origins, 99

Blood groups, M-N, frequencies, 94

C

Calculations and equations

allele frequency, 148

Bayes' theorem, 32-33, 131-133, 164-165

"birthday problem," 165

conditional probabilities, 114-116

confidence limits for match probabilities, 147, 159-160

conservatism, 111

database searches and, 7, 134-135, 163-165

error rates in, 85-87

exclusion power of a locus, 96

floating bin, 142-143

genotype frequencies, 26

HW expectations, 28, 38, 92, 93 n.2, 148

inadequate database and, 6

inbreeding coefficient, 98-99, 216

issues, 50

likelihood ratio, 128, 163

match probability, 10, 29-30, 32, 39, 45, 46, 52, 111, 114-116, 129-130, 139, 147, 161

measurement standard deviation, 140-141

from population-average allele frequencies, 100, 108

population-structure, 6, 38, 114-116

population subdivision effects, 29-30, 38, 102-104, 114-116, 123-124, 160

product rule, 5, 6, 27, 28, 45, 53, 110, 112, 114, 156, 157, 160

of profile frequencies, 5-6, 28, 122, 163-165

racially mixed databases, 5, 6-7, 38, 99-100, 122, 163-165

recommendations, 5-6, 7, 122, 161

relatives of suspects, 6, 39, 113

2p rule, 5, 29, 38, 45, 104-105, 111, 112, 114, 119-120, 122, 154, 157, 162

uncertainties in, 10, 112

uncertainty windows, 145

uniqueness, 33, 137, 165

VNTR uncertainty windows, 7, 145

Wright's algorithm, 113

Wright's fixation index, 102

California, 206, 210

Cases

Ake v Oklahoma, 181-182, 183 n.55

Andrews v State, 174 n.18

Arizona v Youngblood, 184 n.61

Barnes v State, 180 n.41

Blige v State, 206

Brim v State, 189 n.71

Cade v State, 182 n.49

Caldwell v State, 174 n.20 206

California v Trombetta, 184 n.60

Campbell v State

Clarke v State, 178 n.32, 208

Cobey v State, 174 n.19, 207

Commonwealth v Beausoleil, 202 n.100

Commonwealth v Crews, 193 n.80, 194 n.83, 198 n.92 201 n.99, 208

Commonwealth v Curnin, 175 n.21, 180 n.41, 196-197

Commonwealth v Gleniewicz, 184 n.62

Commonwealth v Lanigan, 189 n.71, 190 nn.74, 77, 191 n.78, 207

Commonwealth v Pestinikis, 174 n.18

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Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Daubert v Merrell Dow Pharmaceuticals, 172-173, 185 n.64, 191 n.78

Davidson v State, 180 n.41, 200 n.97, 207

Dubose v State, 182 n.49, 205

Fishback v People, 176 n.26

Flores v State, 208

Franson v Micelli, 190 n.74, 206

Frias v State, 181 n.43

Frye v United States, 171-172, 175, 178 n.31, 180, 185 n.64, 188 n.70, 190 n.73, 194 n.83

Fuller v State, 208

Greenwood v United States, 198 n.92

Harrison v. State, 177 n.31, 181 n.47, 182, 182 n.50, 207

Hayes v State, 190 n.76, 206

Hicks v State, 181 n.46

Hilbish v State, 205

Hopkins v State, 180 207

Husske v Commonwealth, 182 n.49

Kelly v State, 172 n.13, 208

Lindsey v People, 187 n.68, 188 n.69, 189 n.71, 206

Mickens v Commonwealth, 209, 211

Moore v State, 181 n.43

Nelson v State, 206

People v Adams, 172 n.15, 207

People v Adell, 207

People v Amundson, 178 n.32, 179 n.36, 187 n.69 206

People v Antoigue, 193 n.80

People v Axell, 206

People v Barney, 180 n.41, 193 n.80, 199, 206

People v Bell, 181 n.43

People v Castro, 175 n.23, 180

People v Cooper, 184 n.60

People v Davis, 168 n.5

People v Garries, 184 n.60

People v Griffin, 184 n.60, 185 n.63

People v Groves, 178 n.32

People v Hall, 197

People v Heaton, 194 n.83, 198 n.92, 206

People v Lipscomb 206

People v Marlow, 187 n.69, 188 n.71, 189 n.71, 206

People v Morales, 178 n.34, 192 n.79

People v Palumbo, 208

People v Pizarro, 206

People v Simpson, 178 n.35, 196, 199

People v Soho, 187 n.69 206

People v Stremmel, 180 n.41, 206

People v Taylor, 206

People v Vann, 208

People v Venegas, 177 n.29, 188 n.71, 190 nn.75, 77, 195 206

People v Wallace, 175, 190 n.76, 193 n.80, 206

People v Watson, 190 n.74, 206

People v Wesley, 208

People v White, 208

People v Wilds, 187 n.69, 188 n.71, 206

Perry v State, 175 n.23, 180 n.41, 205

Polk v State, 207

Powell v State, 169 n.8

Prater v State, 206

Prince v Superior Court, 181 n.44, 183 n.56

Rivera v State, 193 n.81

Satcher v Commonwealth, 175 n.24 209

Serritt v State, 178 n.32

Smith v Deppish, 201 n.99

Spencer v Commonwealth, 168 n.6, 209

Springfield v State, 194 n.81, 209

State v Alt, 190 n.77, 193 n.81

State v Anderson, 172 n.17, 208

State v Bible, 180 n.41, 186 n.65, 198, 205

State v Bloom, 190 n.75, 194 n.84, 195 n.85, 196, 198, 207

State v Bogan, 167, 193 n.81, 194 n.83, 205

State v Boyd, 196 n.89

State v Brown, 207

State v Buckner, 136, 186 n.65, 194 n.82, 209

State v Carlson, 196 n.89

State v Carter, 169 n.8, 178 n.33, 187 n.68, 188 n.70, 190 n.73, 192 n.79, 193, 207

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Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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State v Cauthron, 180 n.41, 190 n.75, 194 n.82, 209

State v Colbert, 170 n.9

State v Cosey, 184 n.60

State v Davis 207

State v DeSpain, 193 n.81

State v Duran, 191 n.78, 208

State v Dykes, 168 n.6, 207

State v Faraone, 181 nn.44, 45

State v Feldman, 168 n.5

State v Ford, 208

State v Futch, 208

State v Gaddis, 184

State v Gentry, 178 nn.31, 32, 35, 179 n.38, 183 n.52, 209

State v Grayson, 178 nn.31, 33

State v Guevara, 189

State v Haddock 207

State v Harris, 182 n.50, 208

State v Hartman 202 n.100

State v Hill, 178 n.32

State v Hoff, 178 n.32

State v Hollis, 190 n.76, 193 n.80

State v Hummert, 193 n.81, 194 n.82, 205

State v Jackson 200 n.97

State v Jobe, 183 n.52

State v Johnson, 190 n.77, 205

State v Klindt, 200 n.97, 201

State v Lewis, 169 n.8

State v Lyons, 178 n.32, 179 n.39, 208

State v McDaniel, 183 n.56, 184 n.59

State v McFadden, 169 n.8

State v Melvins, 183 n.56

State v Montalbo, 172 n.15, 206

State v Moore, 176 n.26, 178 n.32, 179 n.39, 193 n.81, 207

State v Pennington 208

State v Penton, 178 n.33, 208

State v Peters, 173 n.16, 191 n.78, 209

State v Pierce, 175 n.24, 194 n.83, 208

State v Quatrevingt 207

State v Russell, 177-178 nn.31, 32, 179 nn.36, 39

State v Satterfield 209

State v Schwarz, 168 nn.4, 5, 175 n.22, 180 n.43, 185 n.63, 193 n.81, 196 n.89

State v Schweitzer, 196 n.88, 208

State v Sivri, 190 n.73, 206

state v Skipper, 200 n.97, 202 nn.100, 102

State v Spann, 200 n.97, 202 n.102

State v Springfield, 191 n.78

State v Steele 208

State v Streich, 172 n.17, 176 n.26, 179 n.40, 185 n.64, 190 n.75, 191 nn.77, 78, 208

State v Thomas, 181 n.43, 201 n.99

State v Vandebogart, 180 n.41, 190 nn.74, 77, 207

State v Weeks, 196 n.88, 200 n.97, 207

State v Williams, 178 n.32, 207

State v Wimberly, 208

State v Woodall, 172 n.15

State v Zollo, 194 n.83

Swanson v. State, 169 n.8, 206

Taylor v Commonwealth, 170 n. 1l, 198 n.92

Taylor v State, 187-188 nn.69, 71, 196, 198 n.92, 208

Trimboli v State, 178 n.32

United States v Alvarez, 183 n.53

United States v Bonds, 170, 175 n.24, 176 n.27, 186 n.65, 191 n.78, 205

United States v Butler, 180 n.43

United States v Chischilly, 191 n.78, 196 n.88, 205

United States v Davis, 169 n.8, 205

United States v Fatico, 195 n.86

United States v Jakobetz, 175 n.24, 176 n.27, 186 n.65, 191 n.78, 205

United States v Martinez, 191 n.78, 198 n.92, 205

United States v Nobles, 183 n.53

United States v Perry, 172 n.15, 205

United States v. Porter, 170, 177, 190 nn.74, 77, 206

United Staes v Shue, 168 n.7

United States v Two Bulls, 175 n.23, 180 n.41

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Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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United States v Yee, 168 n.5, 175 n.24

Williams v State, 170 n. 11

Caucasians, see White populations

Ceiling principles

in court, 36, 188-192

criticisms of, 1, 35, 52-53, 157-158, 190-192

defined, 35, 52, 156-157, 215

interim, 28, 35, 36, 52, 58, 116, 157, 158, 159, 188, 189 n.72, 216

need for, 2, 35-36, 41, 58, 158-159, 162

paternity testing and, 54

population substructure and, 28

and random mating theory, 159, 186

TWGDAM report on, 158

Cellmark Diagnostics (UK), 79, 86, 152, 175 n.21, 189 n.71

Centre d'Etude du Polymorphisme Humain, 93

Chain of custody, 25, 82

Chromosomes

crossing over, 14, 15, 27, 64, 65, 215

defined, 12, 60, 215

homologous pairs, 60-61

sex (X and Y), 12, 61, 99 n.6, 218

Collaborative Testing Services, 79

College of American Pathologists, 78, 79

Colorado, 206, 210

Conclusions and recommendations,

summarized, 36-42

Conditional probabilities, 29

Confidentiality, 1, 11, 49

Connecticut, 206, 210

Conservatism

ceiling principles, 52-53, 156-159, 162, 188-192

defined, 215

degrees of, 55

direct counting procedure, 55-56

effects on probablities, 154-156

for heterozygotes, 28, 38, 122

for homozygotes, 28, 38, 122

in match probabilities, 30, 105, 111, 144

for PCR loci, 29, 119-120, 122

product rule with 2p rule, 111, 114, 154

in profile frequency calculations, 5

for subpopulations, 30, 58, 154-155, 156

2p rule, 5, 29, 38 45, 104-105, 111, 112, 114, 119-120, 122, 154, 157, 162

Conviction rates, 197 n.91

Covariance, allele frequency, 100

Cytosine, 12, 61, 215

D

DAB, see DNA Advisory Board

Databases

availability of, 52

convenience samples, 30, 58, 126, 186, 215

convicted felons, 2, 11, 49, 79-80

departures from HW proportions, 97-98, 104

direct count from, 55, 159-160

DNA fragment sizes, 18

FBI, 34, 108, 109 n.13, 127, 148-149

inadequate, 6, 39, 121

individual variability across, 148-154

laboratory proficiency-testing samples in, 79-80

Lifecodes, 34, 104, 108, 109

match probability differences between, 146-148

non-DNA information in, 11, 49

pooling of profiles from, 155-156

race considerations, 21, 38, 96, 127, 155-156, 163-164

recommendations, 6, 39, 40, 123

regional, 110

reliability, 135-136

representativeness, 33, 125, 186

searching, 32, 133-135

size considerations, 32, 39, 93, 98, 110, 114, 125, 135, 146, 147, 160

sources, 21, 30, 58, 93 n.2, 126-127

suspects initially identified from, 7, 32-33, 39-40, 45, 133-135, 161, 163-165

TWGDAM, 27, 34, 109 n.13, 110, 153-154, 160

VNTR, 119

Defendant's fallacy, 31, 133, 198

Delaware, 206, 210

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Digital typing, 73

Diploid, 61 215

Discovery, 41, 167-169, 180 n.43, 183, 184 n.59, 204

Distinction between DNA profiling and other identification evidence, 47-48, 166-167

DNA

copying process, 63, 64

defined, 215

hybridization, 62, 67, 71-72 216

ladders, 17, 19, 43, 68, 69

markers. see Genetic markers

nongenic regions, 15, 126-127

probes, 16, 18, 41, 42, 53, 67, 71, 130, 162, 174 n.19, 215, 217

structure, 12-13, 61-63

DNA Advisory Board, 4, 24, 37, 54-55, 59, 78, 87, 88

DNA Identification Act of 1994, 24, 37, 54, 78, 79, 87

DNA profiling/analysis

basis, 9, 11

benefits, 11, 48, 83

defined, 14, 63, 171 n.12

interpretation of results, 10-11; see Population genetics; Statistical issues

judicial notice of, 172

process, 66

sample size requirements, 11

standard-setting, 54

status of, 10

technical improvements in, 53, 59

time and expense, 135 n.5

validity of, 50-51

see also VNTR typing

DQA locus/test

advantages, 72, 117

alleles, 71-72, 74, 90

court acceptance of, 169 n.8, 174 n.18, 190 n.74, 192

exclusion power, 23, 72, 74, 96

gene diversity, 118

genotype frequencies, 91

method of detection, 74

mixed samples, 130

Dot-blot typing, 129

E

Enzymes, see Restriction enzymes

Equations, see Calculations and equations

Error

absolute, 136

analyst bias, 84-85

database representativeness, 33-34

data-recording, 80-82, 109 n.14

defendants' challenges based on, 179-185

evidence contamination, 23, 82-84

issues, 85-87

measurement, 139

in paternity testing, 54

pooling of proficiency test results, 86

prevention in laboratories, 66, 80-85

rates, 4, 85-87, 199

relative, 136, 160-161

resampling same person, 109 n.14

sample mishandling, 80-82

Ethnic group, 57, 58; see also Race/racial group

Evidence DNA

contamination, 82-84

database inadequacies, 6

defined, 2

juror assessment of, 133

probative value, 56

relatives of suspects, 6, 39

retesting, 81, 87, 88, 180-184

suspect DNA from same population, 29-30, 38, 46, 113-116, 122

Exclusion

defined, 51

false, 51, 75, 82

population genetics and, 50

power of a locus, 23, 72, 74, 96-97, 119

Expert witnesses

qualifications of, 169-171

court-appointed, 41-42, 170

for indigent defendants, 181-182

testimony of, 42, 49, 51-52, 55, 166-167, 168 n.7, 171-172, 182-183, 197, 198, 201-202

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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F

False matches, 51, 75, 82, 83, 84, 185

False negative, 71, 128, n.3

FBI

Automated Fingerprint Information Service, 168 n.5

database, 34, 108, 109 n.13, 127, 148-149

ceiling principle applied by, 189 n.71

DNA Advisory Board, 4, 24, 37, 54-55, 59, 78, 88, 175, 176 n.27, 177 n.30, 187

floating-bin frequency calculations, 144

match window, 176

measurement uncertainty studies, 140

Fingerprints, 56-57, 194

FIS, see Theta

FIT, see Theta

Fixation index, see Theta

Fixed bins, see VNTR typing

Floating bins, see VNTR typing

Florida, 206, 210

Forensic DNA identification, see DNA profiling; Polymerase chain reaction; VNTR typing

FST, see Theta

G

Galton, Francis, 47, 56-57

Gel electrophoresis, 16, 67, 82 215

General-acceptance standard, 171-173, 178, 180, 190, 192, 193, 196, 208

Genes, 13, 14, 62, 63-64, 215

Genetic markers, 10; see also Locus (loci)

defined, 217

departures from random-mating

proportions, 28

for initial identification of suspects, 134

linkage disequilibrium, 107-108

PCR, 74; see also DQA locus

research needs, 41, 121, 162

STR, 74

validation, 83

VNTR loci, 14-16, 65, 74, 121

Genetic variability, 15

Genetics, fundamentals, 12-14, 60-65;

see also Population genetics

Genome, 61, 62 216

Genotypes

defined, 14, 63

population proportions, 90

relative frequencies of, 15

Georgia, 22, 94, 95, 149-150, 174, 206, 210

GST, see Theta

Guanine, 12, 61, 216

H

Haploid, 61, 63, 216

Hardy, G. H., 26, 91

Hardy-Weinberg (HW) proportions

calculations, 28, 38, 92, 93 n.2, 148

court challenges to, 169 n.8, 174 n.20, 187, 190 n.73

defined, 26, 91-93, 216

departures from, 93 n.2, 97-101, 104-106, 148, 150

in large samples, 93-96

linkage equilibrium distinguished from, 106-107

rare alleles, 148

in subpopulations, 28, 38, 102, 103, 189

Hawaii, 206, 210

Helpfulness standard, 173

Heterozygotes/heterozygosity

defined, 14, 63, 216

frequency of, 27

HW calculation, 27, 105

race and, 98 n.5

2p rule, 5, 29, 38, 45, 104-105, 111, 112, 114, 119-120, 122, 154, 157, 162

uncertainties in probabilities, 136

Hispanic populations

allele frequencies, 112, 153

databases, 127

HW proportions, 104

likelihood ratios, 115-116

linkage disequilibrium in, 27

origins, 99

STR diversity, 119

Homozygotes/homozygous, 12, 63, 65, 105, 137-138, 216

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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I

Illinois, 22, 94, 95, 206, 210

Immigrants, 121

Inbreeding and kinship, 98-99, 102, 109 n.13, 120, 216; see also Relatives

Indiana, 207, 210

Institute of Forensic Genetics (Copenhagen), 152

Introns, 63

Inuits, 11 , 121, 123

International exchange of information, 2, 11, 49

Iowa, 207, 210

J

Jury

behavioral research on. 8, 42, 199, 203-204

comprehension of testimony, 8, 133, 203-204

instructions to, 182, 197, 198 n.93

prior-odds implementation, 202

sources of prejudice, 197-198

see also Testimony on DNA evidence

K

Kansas, 207, 210

Karitiana people, 109 n.13

Kentucky State Police Forensic Laboratory, 136

Kinship, 98-99

L

Laboratory performance

accreditation, 4, 24, 37, 77-78, 79, 85, 88, 180 n.42

and admissibility of DNA evidence, 41, 174-175, 199

analyst certification, 79

audits, 24, 77, 78-80 217

control samples, 82, 83

corrective action plans, 77

documentation requirements, 77, 78, 80, 167-168, 181 n.43

duplicate testing, 4, 23, 25, 37, 81, 83, 87, 88, 180-184

error prevention, 80-85, 87-88, 180

error probability estimates, 24-25, 85-87

improvements in, 53, 78

independent review of analyst results, 81. 85, 88

issues, 49-50

legal challenges by defendants, 179-192

1992 report proposals, 76-77

proficiency testing, 4, 24, 37, 55, 59, 77, 78-80, 86, 88, 180, 185, 214, 217

QC and QA guidelines, 37, 55, 59, 76-78. 79, 80, 81, 84, 85, 87

reagent and equipment monitoring, 80, 82

recommendations, 4, 37, 87-88

standards, 10, 54-55, 59, 142

techniques, 82

see also Error

Latin Americans, see Hispanic populations

Legal standards and procedures

attorney-client and work-product privileges, 183

burden of proof, 183 n.55

defendant's right to discovery, 41, 167-169

laboratory-error challenges, 179-192

PCR-based testing, 177-179

retesting of evidence, 181-184

standard of proof, 54, 166-167

VNTR profiling, 176-177

weight of the evidence, 174, 180

see also Admissibility of DNA evidence; Cases; Testimony on DNA evidence

Lifecodes, 34, 104, 108, 109, 168 n.5, 174 n.20, 175 n.23, 188 n.71, 198 n.92

Likelihood ratio, 8, 31, 32, 39-40, 127-133, 139-140, 163, 190 n.74 199-202

Linkage equilibrium

defined, 106, 216

departures from, 38, 106, 107-108, 122, 150

HW proportions distinguished from, 106-107

in mixed populations, 107-108

multiple loci and, 38, 106-112

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Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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PCR data, 35

racial group and, 187

random mating and, 27

VNTR data, 108-112

Locus (loci)

bin frequencies, 97

conservatisms, 119-120

CSFIR, 118

DIS7, 44, 45, 68, 106, 112, 118, 149, 150

DIS80, 72, 74, 106, 117, 137-138

D2S44, 20, 22, 44, 46, 74, 95, 96, 97, 101, 104, 107-108, 111, 112, 118, 137, 143, 149, 150

D4S139, 44, 45, 112, 118, 149, 150

D7S8, 72, 118

D10S28, 44, 45, 107-108, 112, 118, 149, 150

D17S79, 20, 44, 45, 96, 97, 111, 118

defined, 13, 63, 216

exclusion power, 96-97, 119, 165

F13AI, 118

GC, 72, 118, 119

GYPA, 72, 118

HBGG, 72, 118, 119

HUMTHO1, 74

linkage equilibrium, 106-112

LDLR, 72, 118, 119

LPL, 118

MN blood group, 72, 94, 101

PCR, 23, 117, 118, 119-120, 121

PLA2A, 118

Polymarker, 117, 118-119

STR, 117, 118

THOI, 118

VNTR, 34, 44, 45, 58, 65, 67, 68, 111, 117, 118, 119, 121, 126, 137, 149, 150

see also DQA locus/test

Louisiana, 207, 210

M

Maryland, 207, 210

Massachusetts, 175 207, 210

Match probability

calculations, 10, 29-30, 32, 52, 111, 114-116, 129-130, 134-135

conditional, 113, 133, 164

confidence intervals, 33, 39, 55, 146-148, 159-160, 215

conservatisms in, 105

database searches and 7, 32-33, 39-40, 45, 134-135, 163-165

defendant's falacy, 31, 133

definition, 217

from direct counts of database profiles, 55, 159-160

error rate combined with, 85-87

evidence DNA and suspect from same subpopulation, 38, 46, 114-116, 122

enzyme and, 109

explanations in court, 192-204

floating bins and, 7, 143-144

five-locus, 56, 109, 119, 132, 153, 160

four-locus, 56, 109, 116, 132, 153, 154, 160, 189 n.71

for heterozygotes, 105

laboratory error probability estimates combined with, 24-25

and likelihood ratio, 8, 31, 32, 39-40, 127-133

multilocus, 34, 47, 106-112

parameters, 137

posterior odds, 8, 32, 131

profile frequency and, 25, 89-90, 127

prosecutor's falacy, 31-32, 133

recommendations, 6, 40, 161-162

relatives of suspects/perpetrators, 113

replicate determinations, 140

single-locus, 194

six-locus, 119, 153

three-locus, 108-109, 110, 188 n.71

threshold values, 136

two-locus, 108, 110

uncertainties in, 33

uniqueness and, 10, 136-138

very small, 56, 135-136, 141, 160

windows, 19-20, 40-41, 44, 127 n.3, 140-141, 143, 144, 148, 161, 162, 176

see also Calculations

Measurement of DNA fragments, 17, 18, 43, 53, 70, 139-140, 161

Meiosis, 61 217

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Michigan, 207, 210

Minisatellite repeat mapping, 73

Minnesota, 175, 181 n.43 207, 210

Mississippi, 207, 210

Missouri, 207, 210

Mitochondrial DNA, 72-73, 74, 117

Mitosis, 60-61

Mixed samples, 129-130, 162-163

M-N blood group, 94, 101

Montana, 207, 210

Mutations, 14, 15, 34, 54, 63, 64, 65, 116 n.16, 119, 121

N

National Academy of Sciences, 24; see also NCR report (1992)

National Committee on Forensic DNA Typing, 37, 54, 87, 156

National Institute of Standards and Technology, 54, 140

National Institutes of Health, 54

National Institute of Justice, 79-80

Native Americans, see American Indian populations

Natural selection, 23, 71, 94, 98, 116 n.16, 119, 121

Nebraska, 188 n.69 207, 210

New Hampshire, 207, 210

New Jersey, 207, 210

New Mexico, 208, 210

New York City, 27, 94

New York State, 208, 210

North Carolina, 208, 211

Notation, allele, 21, 90

NRC report (1992), 1-3, 48, 49, 52, 53, 58, 76-77, 87, 129, 136, 142, 143-144, 156-159, 167, 172, 173, 177, 179, 185, 187, 188, 189-190, 193, 194

Nucleotide sequence, 63

O

Ohio, 208, 211

Oklahoma, 181 n.43, 208, 211

Oregon 208, 211

P

Paternity index, 131-132, 190 n.74, 200 n.97

Paternity testing, 32, 53-54, 121 n.20, 131-132, 148, 186, 201

PCR, see Polymerase chain reaction

Pennsylvania, 208, 211

Polymarker system, 72, 74, 118, 119-120, 154

Polymerase chain reaction (PCR)

advantages, 21, 23, 34, 36, 46, 70, 73, 116-117, 120

confirmatory tests, 25

conservatism, 29, 119-120, 122

contamination of samples, 83, 84, 179

court challenges, 175, 176 n.27, 177 n.30, 187

defined, 69, 217

disadvantages, 23, 34, 71, 120-121

discriminatory power, 34, 137-138, 154

legal standards applied to, 177-179

loci, 23, 34, 71-72, 117, 121, 126 n.2, 137-138, 165, 178

methods, 46, 69-73

population genetics and, 29, 34-35, 38, 116-120, 187

profile frequency calculations, 5 n.2, 122

RAPD, 194 n.83

sample handling, 83, 84

sample size, 11, 70, 81, 116

uncertainties, 38, 70, 119, 122

see also DQA locus/test

Population genetics

allele proportions, 90, 159-160

database inadequacies, 121, 123

and exclusion power of a locus, 51, 96-97

genotype proportions, 90

inbreeding and kinship, 98-99

linkage equilibrium, 106-112

and PCR-based systems, 116-120

population structure and, 28, 104-106

population subgroups and, 99-101

random mating proportions, 5, 26-27, 28, 58, 90-91; see also Hardy-Weinberg proportions; Subpopulations

recommendations, 38, 122-123

(continued on next page)

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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(continued from previous page)

relatives of suspects, 113, 123

theory, 102-104

Population structure

calculations, 5-6, 38

disagreements about, 187-188

genetics, 104-106

and match probabilities, 10-11, 105-106

and PCR-based tests, 34-35

small, isolated communities, 30, 46, 114, 116, 122

Population subgroups, see Subpopulations

Posterior odds, 8, 32, 131, 164, 199-202

Posterior probabilities, 132, 201

Prejudicial effect of evidence, 167, 196-199, 200-201, 207

Prior odds, 131, 201-202

Prior probability, 132, 164

Probabilities, see Conditional probabilities; Match probabilities; Posterior probabilities; Prior probabilities

Probative value of evidence, 167, 174, 185, 193, 199-200

Product rule, 5, 6, 27, 28, 35, 38, 39, 45, 110, 112, 156, 175 n.21, 187

Profile frequencies

allele frequencies and, 25

calculations, 5, 6-7, 38, 99-100, 122, 160

database inadequacies and, 6, 39, 121

geographic variability, 149-151

grouped frequency distribution, 143

match probability and, 25, 89-90, 127

from population averages, 27

race and, 6-7, 28, 99-100, 151-154, 155-156

relatives of suspects, 39

uncertainties in, 27, 33-34, 39

very rare alleles, 20-21

white population subgroups, 151

see also Ceiling principles

Prosecutor's falacy, 31-32, 133, 198

Q

Quality assurance, 24, 37, 76, 87, 217; see also Laboratory performance

Quality control, 24, 37, 76, 217

R

Race/racial group

allele differences between, 98, 111-112, 151-154, 156

allele frequencies within, 94-96, 98, 111-112, 150-151, 156, 187

and calculation of profile frequency, 5-6, 28, 122, 163-165

data source errors, 34

definition, 57

DQA genotype frequency, 91

pooled mixture, 154-155

statistical aspects of, 151-154

subgroups, 58, 98, 155-156

Rape cases, 51, 175 n.21, 191 n.78

Recommendations

database inadequacies, 6, 39, 123

duplicate tests, 4, 37, 88

interpretation of database searches, 7-8

juror comprehension research, 8, 42, 8, 42, 199, 204

laboratory performance, 4, 37, 87-88

laboratory proficiency tests, 4, 37, 88

marker research, 7-8, 41, 162

match probability calculations, 5-6, 40, 161

nature of, 58-59

1992 report, 48-49, 52, 54, 58, 87, 129-130, 134, 142, 143, 156

profile frequency calculations, 5-6, 38, 122

relatives of suspects, 6, 58-59, 123

subpopulations, 38, 122-123

suspects identified through database searches, 161

VNTR typing, 20, 38

Regulatory oversight, 54-55

Relatives of suspects, 6, 58-59, 113, 123, 195-196

Restriction enzymes

defined, 218

Hae III, 66, 95, 101

Pst I, 109

Retesting of DNA evidence, 81, 87, 88, 180-184

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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Reverse blot, 71

RFLPs, see VNTR typing

S

Samples

contamination, 23, 71, 83-84, 179

controls, 17, 82

degraded, 10, 47, 69, 70, 72, 142, 174 215

duplicate testing, 4, 23, 25, 37, 81, 87, 88

gender testing of, 81

mixed, 31, 84, 129-130, 162-163

mixups and mislabeling, 80-82

size requirements, 11, 70

from skeletal remains, 72

storage, 1, 11, 49, 87, 88

Security, 1, 11, 49

Semen/sperm, DNA from, 5, 12, 84

Short tandem repeats (STRs), 23, 32, 34, 70-71, 73, 117, 118, 119, 121 n.20, 126, 148, 218

Sound-methodology standard, 171-173, 178, 191, 193, 196

South Carolina, 208, 211

South Dakota, 208, 211

Southern blotting, 67 218

Statistical issues

alleles with low frequency, 148

Bayes' theorem, 32-33, 131-133

ceiling principles, 41, 156-159, 162

court challenges based on, 175, 176, 178, 185-192

data sources, 30-31, 126-127, 186

database searches, 32-33, 39-40, 45, 133-135, 161

direct count from database, 159-160

fallacies, 31, 133

geographic subdivision, 22, 30, 94-96, 138, 149-151

individual variability, 148-154

measurement of VNTRs, 139-140

mixed samples, 31, 129-130

more conservative formulae, 154-156

in PCR-based tests, 34-35

profile frequencies, 33-34, 50

racial differences, 151-154

recommendations, 160-162

research needs, 162

sample size, 32, 93, 104

subpopulation differences, 30-31, 151, 160

uncertainty in calculations, 11, 27, 33-34

uniqueness, 33, 40, 136-138, 161

very small probabilities, 135-136, 160

in VNTR analysis, 40, 121, 139-145, 161-162

see also Calculations; Match probabilities; Uncertainty

Statutes

compensation of experts, 182 n.48

retesting of physical evidence, 180 n.43

standards for scientific evidence, 171 n. 12

STRs, see Short tandem repeats

Subpopulations

admissibility of evidence on, 187-188

allele frequencies, 5-6

differences among, 58, 151

geographic subdivisions, 30, 149-151

HW proportions in, 35, 102, 103

interindividual variability, 118, 151

linkage equilibrium, 35, 105

proportions, 99-101

same for evidence DNA and suspect, 29-30, 38, 46, 113-116, 122

theory, 102-104

see also Race/racial groups

Suspects

identified by database searches, 32-33, 133-135, 161

relatives of, 6, 113

T

Technical Working Group on DNA Analysis Methods (TWGDAM)

ceiling principle report, 158

data set, 27, 34, 109 n.13, 110, 160

laboratory QA/QC guidelines, 4, 24, 37, 59, 77, 79, 80, 81, 84, 85, 87, 88

Tennessee, 171 n.12, 208, 211

Testimony on DNA evidence

expert, 41-42, 49, 51-52, 55, 166-167,

(continued on next page)

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(continued from previous page)

168 n.7, 169-171, 181-184, 197, 198, 201-202

frequencies and match probabilities, 195-199

juror comprehension, 8, 42

laboratory error, 201

likelihood ratios and posterior odds, 8, 199-202

quantitative estimates of profile frequency, 192, 193

recommendations, 8, 42

response to, 203-204

uniqueness/infrequency of profiles, 136, 193-195

Texas, 208, 211

Theta (0), 29-30, 102-106, 114-116

Thymine, 12, 61, 218

U

Uncertainty

allele frequency and, 20-21, 112

database representativeness and, 33, 55, 125

database size and, 27, 93, 125

departures from random mating

proportions, 92, 150

individual variability, 112, 148, 150

in match probabilities, 10, 32, 33, 55, 136, 160

measurement of DNA fragments, 18, 19-20, 40, 53, 70, 139-140, 161

in PCR-based systems, 38, 119, 122

in population averages, 108

population structure and, 10-11, 38, 55, 125-126

in profile frequency estimates, 27, 33-34, 39

reduction measures, 21

statistical, 11, 27

in VNTR typing, 18, 44, 121

windows, 19, 44, 140, 145

Uniqueness

all profiles considered simultaneously, 137, 165

calculations, 33, 137, 165

defined, 195

demonstration of, 9-10, 137-138, 161

fingerprints and, 56-57

probabilities, 7-8, 40, 136-138

testimony on, 136, 193-195

in tissues, 12

United States population

data sources on, 58

HW  proportions in, 104

see also White populations

V

Variable-number tandem repeats, 14-15, 218;

see also VNTR typing

Variance, allele-frequency, 100

Vermont, 208, 211

Virginia, 209, 211

VNTR typing

advantages, 14, 65

autoradiographs (autorads), 16, 17, 19, 42-43, 53, 67, 68, 85, 139, 185 214

band-shifting, 139, 142, 214

bin frequencies of specific loci, 20, 22, 97, 111

binning, 18, 45, 40-41, 69, 141, 142-144, 148, 161-162, 174 n.20, 176, 188 n.71 200 n.96, 214

case study, 42-45

conservatism in, 28-29

continuous distribution model, 139, 161

controls, 17, 82

database, 119

disadvantages, 18, 35, 36, 53, 73

discriminatory power, 137, 154

fixed bins, 7, 18, 19, 22, 40, 95, 141, 143-144, 161-162, 177

floating bins, 7, 18, 20, 40, 141, 142-143, 148, 161-162, 177

HW calculation, 104-105, 106, 148

inconclusive tests, 139

legal standards applied to, 175 n.22, 176-177, 178, 188

and linkage equilibrium, 108-112

loci required/used, 34, 44, 45, 58, 65, 67, 68, 74, 111, 117, 118, 119, 121, 126, 137, 149, 150, 189 n.71

(continued on next page)

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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(continued from previous page)

matching, 7, 17-18, 19-20, 40-41, 44-45, 84, 139-142, 161-162, 176

measurement errors, 139-140

mixed samples, 129, 130

product rule, 28, 35, 38, 45, 154

profile frequency calculations, 5, 45, 143, 187, 188

rebinning, 148, 177, 217

recommendations, 20, 38, 40-41, 104-105, 122, 148, 161-162

sample handling, 83

statistical aspects, 121, 139-145

subpopulations and, 188-189

technique, 15-17, 42-43, 65-68

2p rule, 5, 29, 38, 45, 104-105, 111, 112, 114, 119-120, 122, 154, 157, 162

uncertainties, 7, 19-21, 40, 44, 119-120, 121, 140, 145, 161

W

Wahlund's principle, 100-101

Washington, D.C., 206, 210

Washington State, 209, 211

Weinberg, Wilhelm, 91

West Virginia, 209, 211

White populations

allele frequencies, 20, 22, 91, 97, 101, 112, 151, 153

databases, 93 n.2, 127, 160

DIS80 locus, 137-138

D2S44 locus, 137

HW  proportions in, 104

likelihood ratios, 115-116

linkage disequilibrium in, 27, 111

M-N blood group locus, 94, 101

origins, 99, 151

STR diversity, 119

subgroups, 103-104, 151

Wiener, A. S., 94

Wisconsin, 209, 211

Wright, Sewall, 98-99

Wright's algorithm, 113

Wright's fixation index, 102, 123

Wyoming, 209, 211

Suggested Citation:"Index." National Research Council. 1996. The Evaluation of Forensic DNA Evidence. Washington, DC: The National Academies Press. doi: 10.17226/5141.
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The Evaluation of Forensic DNA Evidence Get This Book
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In 1992 the National Research Council issued DNA Technology in Forensic Science, a book that documented the state of the art in this emerging field. Recently, this volume was brought to worldwide attention in the murder trial of celebrity O. J. Simpson. The Evaluation of Forensic DNA Evidence reports on developments in population genetics and statistics since the original volume was published. The committee comments on statements in the original book that proved controversial or that have been misapplied in the courts. This volume offers recommendations for handling DNA samples, performing calculations, and other aspects of using DNA as a forensic tool—modifying some recommendations presented in the 1992 volume. The update addresses two major areas:

  • Determination of DNA profiles. The committee considers how laboratory errors (particularly false matches) can arise, how errors might be reduced, and how to take into account the fact that the error rate can never be reduced to zero.
  • Interpretation of a finding that the DNA profile of a suspect or victim matches the evidence DNA. The committee addresses controversies in population genetics, exploring the problems that arise from the mixture of groups and subgroups in the American population and how this substructure can be accounted for in calculating frequencies.

This volume examines statistical issues in interpreting frequencies as probabilities, including adjustments when a suspect is found through a database search. The committee includes a detailed discussion of what its recommendations would mean in the courtroom, with numerous case citations. By resolving several remaining issues in the evaluation of this increasingly important area of forensic evidence, this technical update will be important to forensic scientists and population geneticists—and helpful to attorneys, judges, and others who need to understand DNA and the law. Anyone working in laboratories and in the courts or anyone studying this issue should own this book.

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