Opinion ID: 577111
Heading Depth: 2
Heading Rank: 3

Heading: Application of Williams to This Case

Text: 63 We now turn to the specifics of this case. In denying Jakobetz's motion to suppress the DNA profiling evidence, the district court looked first to the Williams test, noting that [t]he essential question is not whether the technique is infallible, but rather whether the scientific technique exhibits 'a level of reliability sufficient to warrant its use in the courtroom.'  Jakobetz, 747 F.Supp. at 255 (quoting Williams, 583 F.2d at 1198). Judge Billings looked beyond the five Williams factors, however, and considered several additional factors before finding the evidence admissible: (1) the experts' qualifications and stature; (2) the existence of specialized literature; (3) the novelty of the technique and its relationship to more established areas of scientific analysis; (4) whether the technique has been generally accepted by experts in the field; (5) the nature and breadth of the inference adduced; (6) the clarity with which the technique may be explained; (7) the extent to which basic data may be verified by court and jury; (8) the availability of other experts to evaluate the technique; and (9) the probative significance of the evidence. 64 The district court divided its analysis into two segments. First, it considered the reliability of the RFLP analysis; then, it examined the reliability of the fixed-bin analysis and the statistical interpretation of the results in this case. 65 With respect to the RFLP analysis, the district court found that the FBI had adhered to strict scientific protocol in their testing of the DNA samples in this case and that it had carefully used controls throughout the experiment in order to assure reliability. The court found that the FBI would throw out the results of a test if any of the controls indicated a problem, and also found that the FBI had done several proficiency tests that satisfied the need for reliability. In addition, the court found that the government's experts were highly regarded in their respective fields and accepted their testimony as to the reliability and general acceptability of the forensic use of RFLP. 66 Jakobetz's experts challenged the reliability of the RFLP analysis on two main grounds. First, they claimed that because the forensic setting typically involved contaminated samples rather than the pristine samples used in research and diagnostics, there was a possibility that contamination and a resulting degradation of the sample could lead to unreliable results. The FBI experts countered this testimony by showing that an erroneous application of procedures or the degradation of a sample of unknown origin would produce either inconclusive results or a false negative which, in either case, would redound to the defendant's benefit, rather than to his prejudice. On this issue, the district court credited the government experts. 67 Second, the defense experts criticized the government's matching rule, which allowed confirmation of a visual match if the number of base pairs of the alleles measured on the two autoradiographs were within plus or minus 2.5 percent of each other. They claimed that this 5 percent window was much too large and that it rendered the FBI's mathematical approach scientifically unacceptable. All the government experts testified to the contrary. More particularly, however, the FBI expert testified that the autoradiograph matches in this particular case were within plus or minus 1 percent. The court concluded, therefore, that Jakobetz's general methodological concerns were not relevant in this case. It also properly noted that the size of the window did not render the matching criteria unreliable as a whole but rather provide[d] fodder for effective cross-examination when that condition occurs. Jakobetz, 747 F.Supp. at 257. 68 The court then considered the reliability of the statistical analysis and interpretation of the results of RFLP analysis. It found that the FBI's use of fixed-bin analysis was reliable and was generally accepted as a method of calculating allele frequencies. The court held that the FBI had not only devised strict standards, but had also followed them in this particular analysis. It also credited the testimony of government experts that the FBI's fixed-bin analysis provides a conservative estimate of allele frequency that more than compensates for potential errors that might result from limitations in technology, limited sample population data, substructure or linkage disequilibrium, and sampling error. The court further found that since the genotype frequency calculations were largely mathematical, involving few subjective judgments, there was little potential for abuse in specific applications. Moreover, Judge Billings found that the FBI had employed fail-safe characteristics that caused errors to produce higher genotype frequencies which redounded to the benefit of the defendant. 69 Defense experts had challenged the statistical interpretation on three grounds. First, they testified that the premise underlying the FBI's statistical analysis was invalid. The FBI had assumed that individuals in the Caucasian race mated randomly without regard to VNTR frequencies, that is, that there was no evidence of substructure or subgroups within the Caucasian population. Based on this assumption, the FBI used the product rule to arrive at its results. 70 The product rule is used to calculate the probability that a number of events will occur simultaneously. To arrive at this probability, the probabilities of each event occurring separately are multiplied. But in order for the product rule method to be valid, each event must occur independently of each other. Evidence of substructure would undermine this assumption of independence. For a more thorough explanation of the product rule, see Thompson & Ford, supra, at 81-82. 71 Jakobetz's experts attempted to show that there was no factual basis for this assumption, and that therefore, the use of the product rule to estimate genotype frequencies was inappropriate and distorted the government's statistical analysis. Jakobetz introduced testimony to show that individuals could form endogamous groups based on religion, ethnicity, and geography. If genetic substructure existed between these groups then mating would not be truly random. Defendant's experts thus concluded that until more was known about substructure, it was inappropriate to use one data base for all Caucasians and to use the product rule to calculate an allele pattern's frequency. They also stated that it was impossible to know whether the FBI binning process was conservative. 72 The court, however, chose to credit the testimony of the government's experts who stated that to the extent that substructure might exist for VNTRs within Caucasians, the FBI had sufficiently proven that it had compensated for this possibility by using conservative binning procedures. Two of the government experts had concluded from personal observations of data collected from an array of ethnic groups that to the extent that some substructure exists, the frequency differences between VNTRs of various subgroups were insubstantial. 73 The district court also properly rejected two other arguments advanced by Jakobetz's experts: (1) the size and composition of the sample population used by the FBI; and (2) the alleged inability of the FBI to replicate their results with the 225 samples used in their pool. 74 Finally, Judge Billings undertook an overall analysis of the admissibility question under Fed.R.Evid. 403 to determine whether the probative value of the evidence was substantially outweighed by unfair prejudice to the defendant. He ruled that it was not. Moreover, he concluded that the jury would not be overwhelmed, confused, nor misled by this evidence. 75 Based on the thorough analysis by the district court, we conclude that it did not abuse its discretion by admitting the results of the DNA analysis into evidence. Judge Billings is to be commended for his careful, exhaustive consideration of this issue. We do think, however, that although the district court expressly stated that it was applying the Williams standard, the court's findings would satisfy not only the Frye standard, but the Two Bulls and Castro standard as well. For the purpose of guiding other trial judges in the second circuit who may face this question in the future, we do not think that such extensive hearings and findings should be conducted in every case. Judge Billings, himself, recognized that the general theories of genetics which support DNA profiling are unanimously accepted within the scientific community. See also Imwinkelried, supra, at 20-21; Thompson & Ford, supra, at 60; Two Bulls, 918 F.2d at 58. In addition, the specific techniques used by the FBI lab in RFLP analysis are commonly used by scientists in microbiology and genetics research. See Thompson & Ford, supra, at 60-76. 76 Given the findings made by the district court, and after careful consideration and review by this court, it appears that in future cases with a similar evidentiary issue, a court could properly take judicial notice of the general acceptability of the general theory and the use of these specific techniques. See McCormick § 203 at 608. Beyond such judicial notice, the threshold for admissibility should require only a preliminary showing of reliability of the particular data to be offered, i.e., some indication of how the laboratory work was done and what analysis and assumptions underlie the probability calculations. The probability data may well vary among different segments of the population. Affidavits should normally suffice to provide a sufficient basis for admissibility. DNA profiling evidence should be excluded only when the government cannot show this threshold level of reliability in its data. The district court should focus on whether accepted protocol was adequately followed in a specific case, but the court, in exercising its discretion, should be mindful that this issue should go more to the weight than to the admissibility of the evidence. Rarely should such a factual determination be excluded from jury consideration. With adequate cautionary instructions from the trial judge, vigorous cross-examination of the government's experts, and challenging testimony from defense experts, the jury should be allowed to make its own factual determination as to whether the evidence is reliable. 77 We thus conclude that the district court properly exercised its discretion in admitting the DNA profiling evidence proffered by the government in this case; we also conclude that courts facing a similar issue in the future can take judicial notice of the general theories and specific techniques involved in DNA profiling.