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Applications in Forensic Genetics
John V. Planz, Ph.D.
UNT Center for Human Identification
Wisconsin Department of Justice
Madison, WI
January 4, 2008
Science and Statistics Behind
Y STR Systems
Assessing the Significance of Y
STR Data
• Characteristics of Y chromosome and loci
• Population structure and distribution of Y
haplogroups
• Forensic applications
• Powerplex Y characteristics
• Working with haplotype statistics
• What about mixtures
Classic View of Y-Chromosome
• TDF master gene
• patrilineal inheritance
• no recombination in NRY
• recombination in PAR
• junk-rich, gene poor
Characteristics of the Human Y Chromosome
• size: ~ 60 Mb
• ~ 35 Mb euchromatic (transcribed)
• ~ 25 Mb heterochromatic (non-transcribed)
• 95% non-recombining (NRY)
• 5% X-recombining (2 pseudoautosomal regions at telomeres)
• shape: acrocentric - very short p-arm, long q-arm (“Y” name)
• rich in different kinds of repetitive DNA sequences
• lack of recombination
• relatively poor in gene content
Genes on the Human Y Chromosome
• 23 Mb of the euchromatic region determined
• 156 transcription units
• 78 encode proteins (genes)
• 27 distinct Y-specific protein-coding genes (gene families)
• 16 ubiquitously expressed genes = housekeeping genes
– e.g. RPS4Y, ZFY, AMELY, SMCY, DBY
• 9 testis-specific genes = male sex determination,
spermatogenesis
– e.g. SRY, TSPY, CDY, RBMY, DAZ
Genes Mapped to Y Chromosome
Genes on the Human Y Chromosome
• 23 Mb of the euchromatic region determined
• 156 transcription units
• 78 encode proteins (genes)
• 27 distinct Y-specific protein-coding genes (gene families)
• 16 ubiquitously expressed genes = housekeeping genes
• 9 testis-specific genes = male sex determination, spermatogenesis
origin of NRY genes:
– derived / preserved from the proto-sex chromosomes
(X-homology)
– specialization in male-specific function
Evolution of Mammalian Sex Chromosomes
Lahn, Pearson & Jegalian 2001
Some homology with X – need to consider in validation
Polymorphisms of the Human Y Chromosome
Mutations create DNA polymorphisms and
these may serve as genetic markers
• Repetitive DNA – e.g., STRs
• Single-Copy DNA – e.g., SNPs, indels
Y Chromosome Polymorphisms
 ~ 200 binary polymorphisms (Y-SNPs) characterized
 > 300 microsatellites (Y-STRs) characterized
 1 minisatellite (MSY1)
Not all mutations
occur at the same
rate
‘hotspots’
‘coldspots’
Mutation Process for STR loci
Y-STR consensus structure and allele ranges
Y-STR consensus structure and allele ranges
Phylogenetic
tree
based in binary
SNP data
-From J.M. Butler (2003) Forensic Sci. Rev. 15:91-111
Forensic Y STR Systems
• Haplogroup: set of haplotypes defined
by slowly mutating markers (mainly
SNPs) which have more phylogenetic
stability.
• Haplotype: combination of allelic states
of a set of polymorphic markers lying on
the same DNA molecule.
Definitions
Unique event polymorphisms (UEP) record
history of Y chromosome
Why are our Y haplotypes so different?
• Many markers to choose from
• The selected loci are physically linked
• Markers have both SNPs and STRs
Infinite Sites Model
Stepwise Mutation
Model
Infinite Alleles Model
Population Differentiation
• Effective population size of Y chromosome is 1/4 of
autosomes or 1/3 of X
– lower sequence diversity on Y
– more susceptible to genetic drift
• random changes in frequency of haplotypes
due to sampling bias from one generation to
next
• accelerates differences between populations
• Variance of offspring further reduces Ne (effective
population size)
Population Differentiation
• Geographical clustering due to patrilocal behavior
of men
– women move closer to man’s birthplace
– local geographical differentiation enhanced
– Conquest effect
From Zerjal et al. Am. J. Hum. Genet. 72:717–721, 2003
Population Differentiation
• Geographical clustering due to patrilocal behavior
of men
– women move closer to man’s birthplace
– local geographical differentiation enhanced
– Conquest effect
You must consider that we are not talking
about contemporary populations when
discussing this!
Converse seen with mtDNA in Native American
Populations
Forensic Y-STR Applications
– Detect male DNA in a sample containing
male and female DNA (Huge background
of female DNA)
– Aspermic males
– Fingernail Scrapings
– Additional Power of Discrimination
– Multiple male donors
– Limits of differential extraction/ tissues
– Gender clarification (amelogenin)
Finger Nail Scraping Case
• Victim was found strangled to death
• Suspect had scratches on his face
• Based on STR results, suspect could not be
excluded; many alleles were below
interpretation threshold (inconclusive
result)
A Forensic Application
Evidentiary
Profile
Suspect
Profile
Identification of Male Contributor DNA in
Crime Scene Material
Autosomal STR profile
Female Victim DNA:
Male Suspect DNA:
Large Female DNA:
Perpetrator Male DNA
- See only female DNA profile
- Or partial DNA profile
- no female DNA
- no profile overlap
- only male component
Y STR profile
Investigations regarding Paternal Lineages
• Paternity Testing
• Kinship Analysis
• Deficiency cases
• Mass disasters
• Missing Persons
• Unidentified Remains
Deficiency Case Male Lineage
• Y STR analysis - any male relative in pedigree can be a
reference for alleged father
?
**Remember paternal lineage issues for identity testing
Y-STR Haplotype Analysis in Deficiency Paternity Case
DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385 DYS413 YCAII
Nephew 14 13 30(16) 25 11 13 12 11-14 22-22 3-7
Son 14 12 29 (16) 24 10 15 12 11-14 22-22 3-7
Exclusion
If true biological nephew, then alleged father is excluded as father of child in question
?
Kayser et al. Progress in Forensic Genetics (1998), 7: 494-496
• For effective use, guidelines are needed
• ISFG Recommendations
• Combine with existing recommendations (NRC II
Report)
• Nomenclature, Allelic Ladders, Population Genetics,
Statistical Issues
• Similar to autosomal STRs
• Thresholds for detection and interpretation
• Stutter
• Mixtures – what constitutes a mixture
• Validation studies in concert with guidelines
• Interpret evidence before knowns
Basic Interpretation Guidelines
Y STR LOCI
• DYS19
• DYS398 I
• DYS398 II
• DYS390
• DYS391
• DYS392
• DYS393
• DYS385 I/II
“Minimal Haplotype” – defined for research only
DYS19
DYS389I
DYS389II
DYS390
DYS391
DYS392
DYS393
DYS438
DYS439
DYS385a/b
Y STR Loci
SWGDAM
DYS385 – two loci
DYS389 – two loci
DYS385 a/b
a = b a  b
DYS389 I/II
I
II
F primer F primer
R primer
a b
Duplicated regions are 40,775
bp apart and facing away from
each other
F primer
R primer
F primer
R primer
DYS389I DYS389II
Figure 9.5, J.M. Butler (2005) Forensic DNA Typing, 2nd Edition © 2005 Elsevier Academic Press
Multi-Copy (Duplicated) Marker
Single Region but Two PCR
Products (because forward
primers bind twice)
• Commercially available Y-STR multiplex kits ---
allow for standard markers and QA/QC
• Most have EMH and SWGDAM recommended
loci
• Extra loci added to enhance discrimination
Kits
DYS19
DYS389I
DYS389II
DYS390
DYS391
DYS392
DYS393
DYS437
DYS438
DYS439
DYS385a/b
PowerPlex® Y System
Powerplex® Y
92 alleles
Allelic ladder
Powerplex® Y Kit
1 ng Male DNA
DYS391 DYS389I DYS439 DYS389II
DYS438 DYS437 DYS19 DYS392
DYS393 DYS390 DYS385
DYS19
DYS389I
DYS389II
DYS390
DYS391
DYS392
DYS393
DYS437
AmpFlSTR® Yfiler™ Kit
DYS438
DYS439
DYS385a/b
DYS448
DYS456
DYS458
DYS635
GATA H4
AmpFlSTR® Yfiler™
137 alleles
Allelic ladder
AmpFlSTR® Yfiler™ Kit
1 ng Male Control DNA 007
DYS458 DYS389 I DYS390 DYS389 II
DYS438 DYS19 DYS385 a/b
DYS393 DYS391 DYS439 DYS635 DYS392
Y GATA H4 DYS456 DYS437 DYS448
What can we expect?
Powerplex® Y
• Sensitivity
• Mixtures
• Anomalies
0.0312 ng
1.0 ng
0.5 ng
0.25 ng
0.125 ng
0.0625 ng
Sensitivity
Sensitivity
0.0312 ng
1.0 ng
0.5 ng
0.25 ng
0.125 ng
0.0625 ng
Sensitivity
0.0312 ng
1.0 ng
0.5 ng
0.25 ng
0.125 ng
0.0625 ng
Male-Female Mixture Series
1:0
1:1
1:10
1:100
1:1000
Male-Female Mixture Series
1:0
1:1
1:10
1:100
1:1000
Male-Female Mixture Series
1:0
1:1
1:10
1:100
1:1000
Of course, with Male:Male mixtures you will get
more peaks at each locus.
Sensitivities down to about 5% minor contributor
are typical.
You cannot bank on peak height differences to
remain consistent across the dyes or loci, so be
careful when trying to physically deconvolute
these mixtures… this may not be a valid practice!
i.e. If target input DNA is 0.5 ng…
5% minor contributor is only 0.025 ng
These types of issues should raise some
operational questions:
 Input DNA:
• Total Genomic?
• Y specific?
• Increase to bring up minor?
• Impact of stutter?
Valid lab policies and interpretation
guidelines must be based on empirical data!
Stutter Issues
From Fulmer et al. 2007 Promega Application Notes
DYS389II
N-1, N-2 stutter is
commonly seen at all
input template
amounts.
1.0 ng
0.5 ng
0.25 ng
DYS392
N-1, N+1 stutter is
commonly seen at all
input template
amounts… this is
common among
trinucleotide repeat
loci.
1.0 ng
0.5 ng
0.25 ng
As with all typing systems, there are anomalies
that you should be aware of !
The majority of female samples will not
produce typing results with the Y STR kits…
But remember…the Y and X are functional
homologues and recombination IS possible.
 always run a female “victim” known
when using Y STR kits in the male –
female context!
Other observed Powerplex® Y anomalies
DYS19 Primer binding mutation
This was in an Asian (Hong Kong) Chinese sample
Other observed Powerplex® Y anomalies
DYS385
“Gene” duplication at DYS385
DYS385 a/b
a b
F primer
R primer
F primer
R primer
Multiple mutation steps
in the lineage are needed
to explain this one!!
Multiband Y Patterns
• MN ASIAN PA0077 DYS385 - 3 Bands
• MN HISPANIC PH0031 DYS390 - 2 Bands
• MN HISPANIC PH0063 Multibands
• NYC HISPANIC 26 DYS19 - 2 Bands
• NYC CAUCASIAN 4 DYS19 - 2 Bands
• CT HISPANIC 00-1851 DYS19 - 2 Bands
• CT HISPANIC 99-1695 DYS19 - 2 Bands
• CT HISPANIC 99-0362 DYS19 - 2 Bands
• CT HISPANIC 98-2136 DYS19 - 2 Bands
• CT CAUCASIAN 00-3022 DYS385 - 3 Bands
• ASIAN A-FTA-34-F/C DYS385 - 3 Bands
• ASIAN A-FTA-36-F/C DYS19 – Primer Binding site?
• ASIAN A-FTA-32-F/C DYS385 - 4 Bands
Must consider
this when
considering a
mixture
Population studies with Powerplex® Y
Before we can approach interpretive or
statistical understanding of the system we need
to understand what we are dealing with as a
locus…and yes, the whole set of markers in
Powerplex Y are just that…a single locus.
Several typical validation issues just don’t
matter with a Y haplotype system:
• Peak height ratio
• Hardy-Weinberg Equilibrium
But other things do!
CFS AFR
CT AFR
MI AFR
NYC AFR
TX AFR
CFS CAU
CT CAU
MI CAU
NYC CAU
TX CAU
CT HIS
Population
37
182
86
80
192
57
164
97
83
194
160
N
MI HIS
MN HIS
NYC HIS
TX HIS
Apache
Navajo
CFS ASN
MN ASN
NYC ASN
TX ASN
CFS EI
Population
97
101
80
192
138
219
28
101
45
73
37
N
Y STR Population Data
Promega Study
Total = 2443
DYS19
Allele Frequencies
African American
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
12 13 14 15 16 17 18
Alleles
Frequency
Sinha (n=543)
CFS (n=37)
CT (n=182)
MI (n=86)
NYC (n=80)
TX (n=193)
fi = frequency of each haplotype n = # haplotypes
h = n(1-fi
2)/ (n-1)
Haplotype Diversity
P =  fi
2
Haplotype Random Match Probability
Population Parameters
Haplotype Diversity
Hispanic
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
DYS437 DYS19 DYS392 DYS393 DYS390
CT HIS MI HIS MN HIS NYC HIS TX HIS
CFS AFR
CT AFR
MI AFR
NYC AFR
TX AFR
CFS CAU
CT CAU
MI CAU
NYC CAU
TX CAU
CT HIS
MI HIS
MN HIS
NYC HIS
TX HIS
Y Haplotype Profiles
Population
37
182
86
80
193
57
163
97
83
194
158
97
100
80
192
N # Haplotypes
36
172
85
80
181
50
153
87
80
170
130
90
95
74
179
% Single
97.3
94.5
98.8
100
93.8
87.7
93.9
89.7
96.4
87.6
82.3
92.8
95.0
92.5
93.2
Haplotype
Diversity
0.9985
0.9994
0.9997
>0.9999
0.9993
0.9944
0.9991
0.9968
0.9991
0.9981
0.9963
0.9985
0.9988
0.9968
0.9991
Apache
Navajo
CFS ASN
MN ASN
NYC ASN
TX ASN
CFS EI
Y Haplotype Profiles
138
219
28
100
45
70
37
70
101
28
96
43
69
35
50.7
46.1
100
96.0
95.6
98.6
94.6
0.9701
0.9806
>0.9999
0.9992
0.9970
0.9996
0.9955
Population N # Haplotypes % Single
Haplotype
Diversity
high haplotype diversity = high intra-individual variation
Haplotype Diversity
N>80
0.955
0.96
0.965
0.97
0.975
0.98
0.985
0.99
0.995
1
1.005
What about Linkage Equilibrium?
Intuitively, since these markers are all on a
single chromosome we’d predict strong
linkage and a lack of independence between
the loci.
Although this is very different from what
we are used to with our beloved CODIS
loci…this is what we expect with a
haplotype
What do we get?
CFS AFR
CT AFR
MI AFR
NYC AFR
TX AFR
CFS CAU
CT CAU
MI CAU
NYC CAU
TX CAU
CT HIS
MI HIS
MN HIS
NYC HIS
TX HIS
Population
37
182
86
80
193
57
163
97
83
194
158
97
100
80
192
N # Equilibrium
35
23
27
34
21
30
26
30
22
11
26
33
42
35
37
Y STR Loci Pairwise Tests
12 Loci – 66 tests
Apache
Navajo
CFS ASN
MN ASN
NYC ASN
TX ASN
CFS EI
Y STR Loci Pairwise Tests
12 Loci – 66 tests
Population
138
219
28
100
45
70
37
N
9
12
60
50
47
50
35
Fewest – Native American
Most – Asian (sample size; but Minnesota and Texas)
# Equilibrium
391/389I
391/389II
389I/439
389I/385-2
439/389II
439/393
439/385-1
439/385-2
389II/393
437/393
Loci
19
18
17
18
17
19
18
20
17
18
# Populations
Y STR Loci Pairwise Tests
22 populations; ≥ 17 Equilibrium detected
What’s going on here??? – No detectable linkage?
391/438
389I/389II
438/437
438/19
438/392
438/385-1
438/385-2
437/385-1
19/392
19/385-1
392/385-1
390/385-1
385-1/385-2
Loci
5
1
4
4
3
0
4
5
5
3
5
5
3
# Populations
Y STR Loci Pairwise Tests
22 populations; ≤ 5 Equilibrium
This is what we’d
expect…
Strong linkage
389I/392
438/439
437/439
437/385-2
390/385-2
Loci
15
11
16
12
12
# Populations/
Equilibria
Y STR Loci Pairwise Tests
22 Populations – Examples of Population Specific Disequilibrium
Caucasian
Caucasian
Caucasian
African American
African American
Population/
Equilibria
Likely due to haplogroup differences among populations
• There is evidence of “independence” between
some of the loci in some of the populations
• A combination of mutation rate, subdivision
and random drift can cause this.
• One of the biggest factors is Haplogroup
Diversity
• The marker selection for increasing haplotype
diversity is not directly correlated to gene
diversity.
What do we see?
Approaching Analysis
• Some may suggest - “Use the set of Core Y STRs
and add more as needed to resolve matches”
• First question – when do you stop?
• If you get a match, you would have to continue on
ad infinitum!
• Is this a sensible policy?
How much power is needed???
Y-STR marker
combination
African
American
(N=786)
Caucasians
(N=778)
Hispanics
(N=381)
European minimal
haplotype (9) 75.8% 61.7% 79.8%
Eur. Minimal +
SWGDAM (11) 86.8% 74.3% 85.6%
PowerPlex® Y
(12) 87.7% 76.7% 88.2%
AmpFlSTR®
Yfiler kit
(17)
97.6% 95.5% 95.8%
Discriminatory Capacity* for three
U.S. populations
*DC= (# of different haplotypes / pop. size) x 100
Mulero et al., JFS (2006) 51:64-75
Number of Unique Haplotypes Observed for
Three U.S. Populations
Y-STR marker
combination
African
American
(N=786)
Caucasians
(N=778)
Hispanics
(N=381)
European
minimal
haplotype (9)
496 382 266
Eur. Minimal +
SWGDAM (11) 618 503 295
PowerPlex® Y
(12) 628 524 306
AmpFlSTR®
Yfiler kit
(17)
749 714 350
Mulero et al., JFS (2006) 51:64-75
Sample Info DYS19 DYS385 1
DYS389I 1
DYS389II 1
DYS390 1
DYS391 1
DYS392 1
DYS393 1
DYS438 1
DYS439 1
DYS437 1
DYS448 1
DYS456 1
DYS458 1
Y GATA H4 1
DYS635
C37 14 11,14 13 29 24 11 13 13 13 12 14 19 15 17 12 23
C330 14 11,14 13 29 24 11 13 13 13 11 15 19 15 19 11 23
ATCC 14 11,14 13 29 24 11 13 13 12 13 15 19 15 17 13 23
C304 14 11,14 13 29 24 11 13 13 12 13 15 19 17 18 12 23
C327 14 11,14 13 29 24 11 13 13 12 13 15 19 16 16 12 24
C63 14 11,14 13 29 24 11 13 13 12 13 15 17 16 17 11 23
C177 14 11,14 13 29 24 11 13 13 12 12 15 21 17 19 12 24
C198 14 11,14 13 29 24 11 13 13 12 12 15 18 16 17 12 23
C276RL 14 11,14 13 29 24 11 13 13 12 12 15 19 15 19 12 23
C294 14 11,14 13 29 24 11 13 13 12 12 15 19 15 17 11 24
C236 14 11,14 13 29 24 11 13 13 12 12 14 19 15 18 12 23
C85RL 14 11,14 13 29 24 11 13 13 12 12 14 19 16 16 11 24
C12 14 11,14 13 29 24 11 13 13 12 11 15 19 17 18 12 23
C194 14 11,14 13 29 24 11 13 13 12 11 15 19 17 17 12 23
C197 14 11,14 13 29 24 11 13 13 12 11 15 19 15 16 >13 24
C318 14 11,14 13 29 24 11 13 13 12 11 15 19 16 17 12 23
C345 14 11,14 13 29 24 11 13 13 12 11 15 19 15 18 12 23
C66RL 14 11,14 13 29 24 11 13 13 12 11 15 19 16 19 12 23
C205 14 11,14 13 29 24 11 13 13 12 11 14 19 15 17 12 23
C158 14 11,14 13 29 24 11 13 13 12 10 15 19 16 20 13 23
Common haplotype identified by the
European Minimal Haplotype markers
(20 individuals in Yfiler haplotype database*)
European Minimal
Haplotype
0
# of different
haplotypes 20
YfilerTM
8
PP Y
* http://www.appliedbiosystems.com/yfilerdatabase/
So…the logic does work…
More loci… better resolution…
But…doesn’t the size of the database matter?
European Minimal
Haplotype
0
# of different
haplotypes 20
YfilerTM
6
PP® Y
Individuals
sharing
haplotypes
20 4, 4, 2, 6 0
Point
Estimate
(N = 3561)
0.0056 0.00028
0.0011
0.0011
0.0006
0.0017
N= 1000 0.02
0.004
0.004
0.002
0.006
0.001
Approaching Analysis
• Unlikely approach because information gain is low
• Many samples will already be very limited
• Community will rely on commercially available kits
not in-house designer systems
• QC/ Proficiency Testing
• Better to increase size of database(s) to gain power
• We will re-visit substructure issues later
Approaching Analysis
• Some may suggest - “A reference database should
contain related individuals” – to better define the
population
• Probability of paternal relative having the same
haplotype is usually 1
• Databases are typically comprised of unrelated
individuals
• Although a small unknown number of related
individuals may be in a database
• Able to address significance of a very closely related
profile
Exclusion with 1 mismatch among 12 analyzed Y-
STRs
Evidence 14 12 28 25 11 11 13 14,14 11 11 15
Known 14 12 28 24 11 11 13 14,14 11 11 15
By having a database of unrelated males one can
assess weight of relative (with mutation) versus rarity
of haplotype in population
Qualitative Conclusions of Y-STR
Haplotype Comparison
Exclusion
- The two haplotypes are dissimilar; i.e, the
reference person is excluded as the contributor
of Y-specific DNA of the evidence sample
Inclusion/Match
- The Y haplotypes from two samples are
sufficiently similar and potentially could have
originated from the same source, or from a
common paternal lineage
Inconclusive
- Exclusion/Inclusion cannot be definitively
inferred due to insufficient data from one or
both of the DNA samples
Calculation to Convey to the Court
• Frequency estimate not possible
• Court desires a frequency estimate
• Point Estimate (Counting Method)
• Confidence Interval
• Approach the same as mtDNA
• The vast majority of possible haplotypes
will not be observed in any database
• The counting method is likely to be
conservative
• A correction for sampling
• A correction for substructure
Calculation to Convey to the Court
??
Calculation to Convey to the Court
Approaches
• It is more likely that the counting method will be
employed by the U.S. laboratories and courts
because of its operational simplicity
Limitations of the Counting Method
• Non-matched sites of the haplotype are given
weight equal to that of different origin (but
may have some extra value for substructure)
• Mutations are not weighted
• Haplotypes of the same paternal lineage can be
excluded, when they are subject to mutations
• Does not recognize evolutionary changes,
and/or effect of convergent mutations
CI = p ± 1.96 p(1-p)/N
For Y haplotype observed,
count the number of times
the profile is observed (X)
p = X/N
95% Upper bound on frequency
Where
• N is the size of the database
What about for Y haplotype that is not
observed in your database??
The upper bound of the CI is
1-1/N
Where
•  is the confidence level (0.05 for a 95% CI)
• N is the size of the database
Following: W. E. Ricker, 1937. Journal of the American Statistical Association, Vol. 32, No. 198: 349-356.
Maximum haplotype frequency
• If a Y-haplotype is not seen in a sample of N males
then at the  level of significance:
• Maximum frequency = 1 - 1/N
• Confidence level = 1- 
• As N becomes larger, maximum frequency becomes
closer to point estimate
This is why databases will drive our
statistical strength
N frequency
• 100 3/100 (0.03)
• 500 3/500 (0.006)
• 1,000 3/1,000 (0.003)
• 10,000 3/10,000 (0.0003)
Haplotype frequency
Calculation to Convey to the Court
Confidence Interval
• In many instances, the evidentiary haplotype may
not be observed in the reference database
• As a consequence, the usual assumption of a
Normal distribution may not apply for Y-STR
haplotype frequency estimates
• Ricker’s theory (1937) accommodates this
requirement
• The counts as well as the confidence bounds are
divided by the number of haplotypes sampled in the
entire database to estimate the probability of a
match
Online available Y-STR haplotype
reference databases
How de we actually get our Haplotype frequencies?
http://www.appliedbiosystems.com/yfilerdatabase/
Applied Biosystems Yfiler
http://www.promega.com/techserv/tools/pplexy/default.htm
Promega Powerplex Y
AB Yfiler
Haplotype data can be input manually or through
file upload.
Of Course,
There are no
matches
when testing
this many
loci.
A random Y haplotype
Haplotype data are input manually
Of Course,
There are no
matches
when testing
this many
loci.
So using our formula from before and an  = 0.05
1-1/N
1 – (0.05)1/4004 = 0.00075
So, lets try a haplotype that has been seen in
the Database…
A general search
returns 21 matches
in the database.
CI = p ± 1.96 p(1-p)/N
What p…?
What N…?
We can evaluate these
matches by looking at
the distribution of
matches among the
various population
groups.
CI = p ± 1.96 p(1-p)/N
We can do like we did before…looking at the
frequency in the whole database:
CI = 0.0052 + 1.96√ (0.0052(0.9948))/4004
Upper bound would be:
0.00743
CI = p ± 1.96 p(1-p)/N
Or we could do specific to the population group
in which the match was found:
CI = 0.0076 + 1.96√ (0.0076(0.9924))/1311
Upper bound would be:
0.0123
Caucasians
CI = p ± 1.96 p(1-p)/N
Or we could do specific to the population group
in which the match was found:
CI = 0.0067 + 1.96√ (0.0067(0.9933))/894
Upper bound would be:
0.01205
Hispanics
CI = p ± 1.96 p(1-p)/N
Or we could do specific to the population group
in which the match was found:
CI = 0.0036 + 1.96√ (0.0036(0.9964))/1108
Upper bound would be:
0.00712
African American
• Correction for population structure may be considered
• Effective population size ¼ of autosomal loci
• May actually be a little lower
• Substructure effects less in US than ancestral
populations
• Use when reference database considered not
representative
Calculation to Convey to the Court
Population Substructure
Problems created by population subdivision
Haplotype frequencies calculated
from population average
frequencies couldlead to:
–Wrong estimates!
Employ a Theta (q ) Correction
q is used as a measure of the effects of
population substructure
(inbreeding, coancestry)
NRCII q recommendation was pragmatically set
Empirical values are much less for autosomal
loci
National Academy of Sciences
May 1996
Still need to calculate substructure effects
But likely to be low for most major
populations, if evaluated under a
forensic model vs that of an
evolutionary model
U.S. Y-STR Haplotype Reference Database
www.ystr.org/usa
AA CAU HIS Total
Number of populations
sampled
10 11 9 30
Number of individuals
sampled
599 628 478 1,705
Number of Y-STR loci typed
(EMH)
9 9 9 9
Number of different
haplotypes
454
76%
437
70%
354
74%
1116
65%
Haplotype diversity 99.8% 99.6% 99.5% 99.7%
Most frequent haplotype 12
2.0%
25
3.98%
19
3.97%
53
3.1%
Kayser et al. J. Forensic Sci. (2002), 47(3): 5513-519
Hispanic
Structure of U.S. Populations with Y-STR Haplotypes
Florida EA
European-American
African-American
Virginia AA
Florida AA
Maryland AA
Texas AA
New York AA
Pennsylvania AA
Missouri AA
Oregon AA
Indiana AA
Lousiana AA
Pennsylvania EA
New York EA
Indiana EA
Missouri EA
Lousiana EA
Maryland EA
Pennsylvania H
Florida H
New York H
Connecticut H
Texas EA
Cajun EA
Virginia EA
Oregon EA
Oregon H
Maryland H
Lousiana H
Texas H
Virginia H
RST = 0.1
RST: measure for population differentiation
Kayser et al. J. Forensic Sci. (2002), 47(3): 5513-519
African American
Asian
Caucasian
Hispanic
Native American
Afr-Cau-His
All 5
Population
Partition (%) of genetic variance
(AMOVA)
98.96
98.69
98.45
99.08
96.98
87.19
83.40
A
A = within sample population
1.04
1.31
1.55
0.92
3.02
1.02
1.25
B
B= among sample populations within major population group (or regional variation)
---
---
---
---
---
11.79
15.35
C
C = among major population components for North American populations
FST
(AMOVA)
African American
Asian
Caucasian
Hispanic
Native American
Afr-Cau-His
All 5
Population
0.0104
0.0131
0.0155
0.0092
0.0302
0.1179
0.1535
FST
AMOVA routine (with the option of allele size difference) of Arlequin 2.0
ST
FST
(AMOVA)
African American
Asian
Caucasian
Hispanic
Native American
Afr-Cau-His
All 5
Population
0.0051
0.0148
0.0071
0.0061
0.0188
0.0745
0.1001
FST
Note: Asian is likely inflated and more data are needed to assess FST
0.0104
0.0131
0.0155
0.0092
0.0302
0.1179
0.1535
ФST
AMOVA routine (without the option of allele size difference) of Arlequin 2.0
FST
(AMOVA)
African American
Asian
Caucasian
Hispanic
Native American
Afr-Cau-His
All 5
Population
0.0051
0.0148
0.0071
0.0061
0.0188
0.0745
0.1001
FST
0.0006
0.0039
-0.0005
0.0021
0.0282
------
------
FST
autosomal
f (haplotype) = pi + q (1- pi)
Formula
Note: θ is the limiting factor!
With q of 0.01 and our p of 0.00028:
0.00028 + (0.01 x (1 – 0.00028))
0.00028 + 0.0099
≈ 0.0103
q
Pool populations ---
Impact
• US populations
• Intra-individual variation
• Most common haplotypes the same
• What is the frequency of unknown or uncommon
haplotypes in different datasets?
• Even if there is substructure
Most frequent
Y STR haplotype is one locus with many alleles
A1
A2
.
.
.
.
A100
Population 1
A101
A102
.
.
.
.
A200
Population 2
Databases with reasonable size
approximate this model
θ is almost 0
A1
A2
.
.
.
.
An
Population 1
A1'
A2'
.
.
.
.
An'
Population 2
In reality, with large number of loci a few types are shared
and most if not all have never been seen in the database
θ approaches 0
Y STR haplotype is one locus with many alleles
So the more loci typed,
the more haplotypes/alleles will be in the database
Thus, multi-locus kits are valuable for this aspect
q approaches 0
In the process of calculating q under forensic model***
Y STR haplotype is one locus with many alleles
Forensic Model
Population Substructure
DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385
A --- 14 12 29 24 10 15 12 11-14
E --- 18 12 25 24 10 15 15 11-18
B --- 14 13 29 24 10 15 12 11-14
C --- 14 13 29 24 12 15 12 10-14
D --- 18 11 25 24 10 13 15 12-18
Which haplotypes might be more closely related?
Forensic Model
Population Substructure
DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385
A --- 14 12 29 24 10 15 12 11-14
C --- 14 13 29 24 12 15 12 10-14
Are such evolutionary differences
considered in forensic evaluation?
E --- 18 12 25 24 10 15 15 11-18
A --- 14 12 29 24 10 15 12 11-14
Exclusion
Exclusion
Locus Caucasian
(N = 199)
Afr Amer
(N = 203)
Hispanic
(N = 207)
Asian
(N = 83)
Total
(N = 692)
DYS391 11:10 1
DYS389I 12:13 1
DYS389II 29:30 30:29 1*
DYS439 13:12 11:12 2
DYS438 0
DYS437 15:16 15:14 2
DYS19 16:17 2
17:16
DYS392 0
DYS393 14:15 1
DYS390 0
DYS385 14:15 14:15 12,14:14 3
Total 2/2388 6/2436 2/2484 3/996 13/8304
0.00084 0.00246 0.00081 0.0031 0.00157
Y STR mutations (father:son allele transmission)
• 692 confirmed father-son pairs (probability > 99.9%)
• 14 mutation events were observed
• Average rate of 1.57 x 10-3/locus /generation (13/8304)
• With a 95% confidence bound of 0.83 x 10-3 to 2.69 x 10-3
• This rate is a little smaller than that of the Kayser, et al.
• Estimate (2.80 x 10-3/locus)
• But the difference is not statistically significant (P > 0.05).
one Asian father-son pair at the DYS389I/II loci complex (12,29)  (13, 30)
appears as a double mutation, but likely is a single original event.
Y STR mutations (father:son allele transmission)
Mutation??
Likelihood calculation
14, 12, 28, 22, 10, 11, 14, 13-14, 19-21
14
14, 12, 28, 22, 10, 11, 13, 13-14, 19-21
13
Mutation: µ (DYS393) = 3.2 x 10-3
?
f obs= 0.001
fobs = 0.007
7
5
Paternal Relatives share the same haplotype
Are they related?
L(X) = 0.001 x 5 x µ/2 + 0.007 x 7 x µ/2 (related)
L(Y) = 0.001 x 0.007 (non-related)
LR (X/Y) ≈ 12 for patrilinear relationship
Next Task
• Test independence between
autosomal loci and Y haplotypes
Independence Testing of Y Haplotype
and 13 Autosomal CODIS STR Loci
(Autosomal Locus/ Y Haplotype Displaying Disequilibria* - 22 populations)
1. Apache
FGA, p-value = 0.03760000
D21S11, p-value = 0.03460000
D18S51, p-value = 0.02820000
D5S818, p-value = 0.02660000
2. Minnesota Asian
D8S1179, p < 10-3
3. Minnesota Hispanic
D16S539, p-value = 0.03340000
D18S51, p-value = 0.02100000
4. Canada African American
FGA, p-value = 0.00920000
5. Canada Asian Indian
D7S820, p-value = 0.02820000
6. Connecticut African American
FGA, p-value = 0.04300000
THO1, p-value = 0.00280000
7. Connecticut Caucasian
THO1, p-value = 0.02880000
8. Michigan Caucasian
D16S539, p-value = 0.04820000
13. New York Caucasian
D7S820, p-value = 0.01660000
14. New York Hispanic
D21S11, p-value = 0.01340000
15. Texas African American
D13S317, p-value = 0.01200000
D18S51, p-value = 0.01420000
16. Texas Hispanic
D5S818, p-value = 0.01880000
9. Michigan Hispanic
vWA, p-value = 0.03160000
FGA, p-value = 0.02240000
10. Native American Total
D3S1358, p-value = 0.02680000
D21S11, p-value = 0.00060000
D18S51, p-value = 0.00840000
11. Navajo
D21S11, p-value = 0.02820000
12. New York Asian
D16S539, p-value = 0.00740000
Independence Testing of Y Haplotype
and 13 Autosomal CODIS STR Loci
(Autosomal Locus/ Y Haplotype Displaying Disequilibria* - 22 populations)
Next Task
• Mixtures
• Assume 2 alleles for 11 loci
• 211 possible haplotypes with PP Y – 2048
• Most haplotypes not observed in database
• Assumption of independence not correct
• Minimal haplotype frequency (minimum
allele frequency) not practical
Mixture
• Probability of Exclusion
• Binomial distribution - haplotypes excluded and
haplotypes not excluded
• Count number (m) not excluded; (PI = m/n)
• Estimate upper CI of PI
• PE = 1- PI
• Based on same principles used for autosomal loci (but
at haplotype level)
• Four scenarios for two contributor sample in example:
•Hp --- S1 and S2 are source
• Hd --- S1 and unknown are source (same as PI)
• Hd --- S2 and unknown are source (same as PI)
• Hd --- two unknowns are source
Mixture
Likelihood Ratio
• Assume three loci, two alleles at each locus, two
male suspects
•Total alleles the same as in evidence
• Equal contribution
• 8 possible haplotypes
Mixture
Likelihood Ratio
13/15 8/10 22/25 --- 3 locus profile
15 8 22 --- haplotype 2
15 8 25 --- haplotype 4
13 10 22 --- haplotype 5
15 10 22 --- haplotype 6
13 10 25 --- haplotype 7
13 8 25 --- haplotype 3
15 10 25 --- haplotype 8
13 8 22 --- haplotype 1
All haplotypes included are
PE/PI
PE/PI
All possible haplotypes are included
13/15, 8/10, 22/25 --- 3 locus profile
15 8 22 --- haplotype 2
15 8 25 --- haplotype 4
13 10 22 --- haplotype 5
15 10 22 --- haplotype 6
13 10 25 --- haplotype 7
13 8 25 --- haplotype 3
15 10 25 --- haplotype 8
13 8 22 --- haplotype 1
But certain haplotype pairs can not explain evidence
haplotype 1 + haplotype 2
haplotype 1 + haplotype 3
haplotype 1 + haplotype 4
haplotype 1 + haplotype 5
and so on
haplotype 1 + haplotype 8
haplotype 2 + haplotype 7
haplotype 3 + haplotype 6
haplotype 4 + haplotype 5
Only certain haplotype pairs can explain evidence
PE/PI
All possible haplotypes are included
13/15, 8/10, 22/25 --- 3 locus profile
15 8 22 --- haplotype 2
15 8 25 --- haplotype 4
13 10 22 --- haplotype 5
15 10 22 --- haplotype 6
13 10 25 --- haplotype 7
13 8 25 --- haplotype 3
15 10 25 --- haplotype 8
13 8 22 --- haplotype 1
LR =
1
2[Pr(H1)Pr(H8) + Pr(H2)Pr(H7) + Pr(H3)Pr(H6) + Pr(H4)Pr(H5)]
Mixture
Likelihood Ratio
• Technically correct
• Can not estimate individual haplotype frequencies
• 217 (131,072) possible haplotypes (Yfiler)
211 (2048) possible haplotypes (PP Y)
• Not all combinations can explain the evidence
• Assuming independence is not correct
• Cannot place types in database, most never seen, too
many
Mixture
LR
Use same logic as PI
for the denominator in the LR
Haplotypes fall into either category
Only E/E can explain the evidence
and only a subset of these fit
E/E and E/E pairs can not explain the evidence
E = excluded E = not excluded
m*/n(n-1) and take upper CI as denominator
Mixture
LR
m* - those pairs (of E/E) that explain evidence
LR =
1
m*/n(n-1)
Mixture
LR
• The denominator is the PI with an assumed
number of contributors
• Makes better use of data
Online available Y-STR haplotype
reference databases
We still have the problem that none of these
(or PopStats) is designed to enable mixture
calculations!!
Calculation of reporting statistics is quite
straight-forward with the help of the searchable
databases
And doing this with 12 or 17 loci by hand…
…would be a bear!
John V. Planz, Ph.D
UNT Center for Human Identification
jplanz@hsc.unt.edu
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Y_Workshop_WI_planz (3).ppt12345789999987543

  • 1. Applications in Forensic Genetics John V. Planz, Ph.D. UNT Center for Human Identification Wisconsin Department of Justice Madison, WI January 4, 2008 Science and Statistics Behind Y STR Systems
  • 2. Assessing the Significance of Y STR Data • Characteristics of Y chromosome and loci • Population structure and distribution of Y haplogroups • Forensic applications • Powerplex Y characteristics • Working with haplotype statistics • What about mixtures
  • 3. Classic View of Y-Chromosome • TDF master gene • patrilineal inheritance • no recombination in NRY • recombination in PAR • junk-rich, gene poor
  • 4. Characteristics of the Human Y Chromosome • size: ~ 60 Mb • ~ 35 Mb euchromatic (transcribed) • ~ 25 Mb heterochromatic (non-transcribed) • 95% non-recombining (NRY) • 5% X-recombining (2 pseudoautosomal regions at telomeres) • shape: acrocentric - very short p-arm, long q-arm (“Y” name) • rich in different kinds of repetitive DNA sequences • lack of recombination • relatively poor in gene content
  • 5. Genes on the Human Y Chromosome • 23 Mb of the euchromatic region determined • 156 transcription units • 78 encode proteins (genes) • 27 distinct Y-specific protein-coding genes (gene families) • 16 ubiquitously expressed genes = housekeeping genes – e.g. RPS4Y, ZFY, AMELY, SMCY, DBY • 9 testis-specific genes = male sex determination, spermatogenesis – e.g. SRY, TSPY, CDY, RBMY, DAZ
  • 6.
  • 7. Genes Mapped to Y Chromosome
  • 8. Genes on the Human Y Chromosome • 23 Mb of the euchromatic region determined • 156 transcription units • 78 encode proteins (genes) • 27 distinct Y-specific protein-coding genes (gene families) • 16 ubiquitously expressed genes = housekeeping genes • 9 testis-specific genes = male sex determination, spermatogenesis origin of NRY genes: – derived / preserved from the proto-sex chromosomes (X-homology) – specialization in male-specific function
  • 9. Evolution of Mammalian Sex Chromosomes Lahn, Pearson & Jegalian 2001 Some homology with X – need to consider in validation
  • 10.
  • 11. Polymorphisms of the Human Y Chromosome Mutations create DNA polymorphisms and these may serve as genetic markers • Repetitive DNA – e.g., STRs • Single-Copy DNA – e.g., SNPs, indels
  • 12. Y Chromosome Polymorphisms  ~ 200 binary polymorphisms (Y-SNPs) characterized  > 300 microsatellites (Y-STRs) characterized  1 minisatellite (MSY1)
  • 13. Not all mutations occur at the same rate ‘hotspots’ ‘coldspots’
  • 15. Y-STR consensus structure and allele ranges
  • 16. Y-STR consensus structure and allele ranges
  • 18.
  • 19.
  • 20. -From J.M. Butler (2003) Forensic Sci. Rev. 15:91-111 Forensic Y STR Systems
  • 21. • Haplogroup: set of haplotypes defined by slowly mutating markers (mainly SNPs) which have more phylogenetic stability. • Haplotype: combination of allelic states of a set of polymorphic markers lying on the same DNA molecule. Definitions Unique event polymorphisms (UEP) record history of Y chromosome
  • 22. Why are our Y haplotypes so different? • Many markers to choose from • The selected loci are physically linked • Markers have both SNPs and STRs Infinite Sites Model Stepwise Mutation Model Infinite Alleles Model
  • 23. Population Differentiation • Effective population size of Y chromosome is 1/4 of autosomes or 1/3 of X – lower sequence diversity on Y – more susceptible to genetic drift • random changes in frequency of haplotypes due to sampling bias from one generation to next • accelerates differences between populations • Variance of offspring further reduces Ne (effective population size)
  • 24. Population Differentiation • Geographical clustering due to patrilocal behavior of men – women move closer to man’s birthplace – local geographical differentiation enhanced – Conquest effect From Zerjal et al. Am. J. Hum. Genet. 72:717–721, 2003
  • 25. Population Differentiation • Geographical clustering due to patrilocal behavior of men – women move closer to man’s birthplace – local geographical differentiation enhanced – Conquest effect You must consider that we are not talking about contemporary populations when discussing this! Converse seen with mtDNA in Native American Populations
  • 26. Forensic Y-STR Applications – Detect male DNA in a sample containing male and female DNA (Huge background of female DNA) – Aspermic males – Fingernail Scrapings – Additional Power of Discrimination – Multiple male donors – Limits of differential extraction/ tissues – Gender clarification (amelogenin)
  • 27. Finger Nail Scraping Case • Victim was found strangled to death • Suspect had scratches on his face • Based on STR results, suspect could not be excluded; many alleles were below interpretation threshold (inconclusive result) A Forensic Application
  • 29. Identification of Male Contributor DNA in Crime Scene Material Autosomal STR profile Female Victim DNA: Male Suspect DNA: Large Female DNA: Perpetrator Male DNA - See only female DNA profile - Or partial DNA profile - no female DNA - no profile overlap - only male component Y STR profile
  • 30. Investigations regarding Paternal Lineages • Paternity Testing • Kinship Analysis • Deficiency cases • Mass disasters • Missing Persons • Unidentified Remains
  • 31. Deficiency Case Male Lineage • Y STR analysis - any male relative in pedigree can be a reference for alleged father ?
  • 32. **Remember paternal lineage issues for identity testing
  • 33. Y-STR Haplotype Analysis in Deficiency Paternity Case DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385 DYS413 YCAII Nephew 14 13 30(16) 25 11 13 12 11-14 22-22 3-7 Son 14 12 29 (16) 24 10 15 12 11-14 22-22 3-7 Exclusion If true biological nephew, then alleged father is excluded as father of child in question ? Kayser et al. Progress in Forensic Genetics (1998), 7: 494-496
  • 34. • For effective use, guidelines are needed • ISFG Recommendations • Combine with existing recommendations (NRC II Report) • Nomenclature, Allelic Ladders, Population Genetics, Statistical Issues
  • 35. • Similar to autosomal STRs • Thresholds for detection and interpretation • Stutter • Mixtures – what constitutes a mixture • Validation studies in concert with guidelines • Interpret evidence before knowns Basic Interpretation Guidelines
  • 36.
  • 37. Y STR LOCI • DYS19 • DYS398 I • DYS398 II • DYS390 • DYS391 • DYS392 • DYS393 • DYS385 I/II “Minimal Haplotype” – defined for research only
  • 39. DYS385 a/b a = b a  b DYS389 I/II I II F primer F primer R primer a b Duplicated regions are 40,775 bp apart and facing away from each other F primer R primer F primer R primer DYS389I DYS389II Figure 9.5, J.M. Butler (2005) Forensic DNA Typing, 2nd Edition © 2005 Elsevier Academic Press Multi-Copy (Duplicated) Marker Single Region but Two PCR Products (because forward primers bind twice)
  • 40. • Commercially available Y-STR multiplex kits --- allow for standard markers and QA/QC • Most have EMH and SWGDAM recommended loci • Extra loci added to enhance discrimination Kits
  • 43. Powerplex® Y Kit 1 ng Male DNA DYS391 DYS389I DYS439 DYS389II DYS438 DYS437 DYS19 DYS392 DYS393 DYS390 DYS385
  • 46. AmpFlSTR® Yfiler™ Kit 1 ng Male Control DNA 007 DYS458 DYS389 I DYS390 DYS389 II DYS438 DYS19 DYS385 a/b DYS393 DYS391 DYS439 DYS635 DYS392 Y GATA H4 DYS456 DYS437 DYS448
  • 47. What can we expect? Powerplex® Y • Sensitivity • Mixtures • Anomalies
  • 48.
  • 49. 0.0312 ng 1.0 ng 0.5 ng 0.25 ng 0.125 ng 0.0625 ng Sensitivity
  • 50. Sensitivity 0.0312 ng 1.0 ng 0.5 ng 0.25 ng 0.125 ng 0.0625 ng
  • 51. Sensitivity 0.0312 ng 1.0 ng 0.5 ng 0.25 ng 0.125 ng 0.0625 ng
  • 55. Of course, with Male:Male mixtures you will get more peaks at each locus. Sensitivities down to about 5% minor contributor are typical. You cannot bank on peak height differences to remain consistent across the dyes or loci, so be careful when trying to physically deconvolute these mixtures… this may not be a valid practice! i.e. If target input DNA is 0.5 ng… 5% minor contributor is only 0.025 ng
  • 56. These types of issues should raise some operational questions:  Input DNA: • Total Genomic? • Y specific? • Increase to bring up minor? • Impact of stutter? Valid lab policies and interpretation guidelines must be based on empirical data!
  • 57. Stutter Issues From Fulmer et al. 2007 Promega Application Notes
  • 58. DYS389II N-1, N-2 stutter is commonly seen at all input template amounts. 1.0 ng 0.5 ng 0.25 ng
  • 59. DYS392 N-1, N+1 stutter is commonly seen at all input template amounts… this is common among trinucleotide repeat loci. 1.0 ng 0.5 ng 0.25 ng
  • 60. As with all typing systems, there are anomalies that you should be aware of ! The majority of female samples will not produce typing results with the Y STR kits… But remember…the Y and X are functional homologues and recombination IS possible.  always run a female “victim” known when using Y STR kits in the male – female context!
  • 61. Other observed Powerplex® Y anomalies DYS19 Primer binding mutation This was in an Asian (Hong Kong) Chinese sample
  • 62. Other observed Powerplex® Y anomalies DYS385 “Gene” duplication at DYS385 DYS385 a/b a b F primer R primer F primer R primer Multiple mutation steps in the lineage are needed to explain this one!!
  • 63. Multiband Y Patterns • MN ASIAN PA0077 DYS385 - 3 Bands • MN HISPANIC PH0031 DYS390 - 2 Bands • MN HISPANIC PH0063 Multibands • NYC HISPANIC 26 DYS19 - 2 Bands • NYC CAUCASIAN 4 DYS19 - 2 Bands • CT HISPANIC 00-1851 DYS19 - 2 Bands • CT HISPANIC 99-1695 DYS19 - 2 Bands • CT HISPANIC 99-0362 DYS19 - 2 Bands • CT HISPANIC 98-2136 DYS19 - 2 Bands • CT CAUCASIAN 00-3022 DYS385 - 3 Bands • ASIAN A-FTA-34-F/C DYS385 - 3 Bands • ASIAN A-FTA-36-F/C DYS19 – Primer Binding site? • ASIAN A-FTA-32-F/C DYS385 - 4 Bands Must consider this when considering a mixture
  • 64. Population studies with Powerplex® Y Before we can approach interpretive or statistical understanding of the system we need to understand what we are dealing with as a locus…and yes, the whole set of markers in Powerplex Y are just that…a single locus. Several typical validation issues just don’t matter with a Y haplotype system: • Peak height ratio • Hardy-Weinberg Equilibrium But other things do!
  • 65. CFS AFR CT AFR MI AFR NYC AFR TX AFR CFS CAU CT CAU MI CAU NYC CAU TX CAU CT HIS Population 37 182 86 80 192 57 164 97 83 194 160 N MI HIS MN HIS NYC HIS TX HIS Apache Navajo CFS ASN MN ASN NYC ASN TX ASN CFS EI Population 97 101 80 192 138 219 28 101 45 73 37 N Y STR Population Data Promega Study Total = 2443
  • 66. DYS19 Allele Frequencies African American 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 12 13 14 15 16 17 18 Alleles Frequency Sinha (n=543) CFS (n=37) CT (n=182) MI (n=86) NYC (n=80) TX (n=193)
  • 67. fi = frequency of each haplotype n = # haplotypes h = n(1-fi 2)/ (n-1) Haplotype Diversity P =  fi 2 Haplotype Random Match Probability Population Parameters
  • 68. Haplotype Diversity Hispanic 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 DYS437 DYS19 DYS392 DYS393 DYS390 CT HIS MI HIS MN HIS NYC HIS TX HIS
  • 69. CFS AFR CT AFR MI AFR NYC AFR TX AFR CFS CAU CT CAU MI CAU NYC CAU TX CAU CT HIS MI HIS MN HIS NYC HIS TX HIS Y Haplotype Profiles Population 37 182 86 80 193 57 163 97 83 194 158 97 100 80 192 N # Haplotypes 36 172 85 80 181 50 153 87 80 170 130 90 95 74 179 % Single 97.3 94.5 98.8 100 93.8 87.7 93.9 89.7 96.4 87.6 82.3 92.8 95.0 92.5 93.2 Haplotype Diversity 0.9985 0.9994 0.9997 >0.9999 0.9993 0.9944 0.9991 0.9968 0.9991 0.9981 0.9963 0.9985 0.9988 0.9968 0.9991
  • 70. Apache Navajo CFS ASN MN ASN NYC ASN TX ASN CFS EI Y Haplotype Profiles 138 219 28 100 45 70 37 70 101 28 96 43 69 35 50.7 46.1 100 96.0 95.6 98.6 94.6 0.9701 0.9806 >0.9999 0.9992 0.9970 0.9996 0.9955 Population N # Haplotypes % Single Haplotype Diversity
  • 71. high haplotype diversity = high intra-individual variation Haplotype Diversity N>80 0.955 0.96 0.965 0.97 0.975 0.98 0.985 0.99 0.995 1 1.005
  • 72. What about Linkage Equilibrium? Intuitively, since these markers are all on a single chromosome we’d predict strong linkage and a lack of independence between the loci. Although this is very different from what we are used to with our beloved CODIS loci…this is what we expect with a haplotype What do we get?
  • 73. CFS AFR CT AFR MI AFR NYC AFR TX AFR CFS CAU CT CAU MI CAU NYC CAU TX CAU CT HIS MI HIS MN HIS NYC HIS TX HIS Population 37 182 86 80 193 57 163 97 83 194 158 97 100 80 192 N # Equilibrium 35 23 27 34 21 30 26 30 22 11 26 33 42 35 37 Y STR Loci Pairwise Tests 12 Loci – 66 tests
  • 74. Apache Navajo CFS ASN MN ASN NYC ASN TX ASN CFS EI Y STR Loci Pairwise Tests 12 Loci – 66 tests Population 138 219 28 100 45 70 37 N 9 12 60 50 47 50 35 Fewest – Native American Most – Asian (sample size; but Minnesota and Texas) # Equilibrium
  • 75. 391/389I 391/389II 389I/439 389I/385-2 439/389II 439/393 439/385-1 439/385-2 389II/393 437/393 Loci 19 18 17 18 17 19 18 20 17 18 # Populations Y STR Loci Pairwise Tests 22 populations; ≥ 17 Equilibrium detected What’s going on here??? – No detectable linkage?
  • 77. 389I/392 438/439 437/439 437/385-2 390/385-2 Loci 15 11 16 12 12 # Populations/ Equilibria Y STR Loci Pairwise Tests 22 Populations – Examples of Population Specific Disequilibrium Caucasian Caucasian Caucasian African American African American Population/ Equilibria Likely due to haplogroup differences among populations
  • 78. • There is evidence of “independence” between some of the loci in some of the populations • A combination of mutation rate, subdivision and random drift can cause this. • One of the biggest factors is Haplogroup Diversity • The marker selection for increasing haplotype diversity is not directly correlated to gene diversity. What do we see?
  • 79. Approaching Analysis • Some may suggest - “Use the set of Core Y STRs and add more as needed to resolve matches” • First question – when do you stop? • If you get a match, you would have to continue on ad infinitum! • Is this a sensible policy? How much power is needed???
  • 80. Y-STR marker combination African American (N=786) Caucasians (N=778) Hispanics (N=381) European minimal haplotype (9) 75.8% 61.7% 79.8% Eur. Minimal + SWGDAM (11) 86.8% 74.3% 85.6% PowerPlex® Y (12) 87.7% 76.7% 88.2% AmpFlSTR® Yfiler kit (17) 97.6% 95.5% 95.8% Discriminatory Capacity* for three U.S. populations *DC= (# of different haplotypes / pop. size) x 100 Mulero et al., JFS (2006) 51:64-75
  • 81. Number of Unique Haplotypes Observed for Three U.S. Populations Y-STR marker combination African American (N=786) Caucasians (N=778) Hispanics (N=381) European minimal haplotype (9) 496 382 266 Eur. Minimal + SWGDAM (11) 618 503 295 PowerPlex® Y (12) 628 524 306 AmpFlSTR® Yfiler kit (17) 749 714 350 Mulero et al., JFS (2006) 51:64-75
  • 82. Sample Info DYS19 DYS385 1 DYS389I 1 DYS389II 1 DYS390 1 DYS391 1 DYS392 1 DYS393 1 DYS438 1 DYS439 1 DYS437 1 DYS448 1 DYS456 1 DYS458 1 Y GATA H4 1 DYS635 C37 14 11,14 13 29 24 11 13 13 13 12 14 19 15 17 12 23 C330 14 11,14 13 29 24 11 13 13 13 11 15 19 15 19 11 23 ATCC 14 11,14 13 29 24 11 13 13 12 13 15 19 15 17 13 23 C304 14 11,14 13 29 24 11 13 13 12 13 15 19 17 18 12 23 C327 14 11,14 13 29 24 11 13 13 12 13 15 19 16 16 12 24 C63 14 11,14 13 29 24 11 13 13 12 13 15 17 16 17 11 23 C177 14 11,14 13 29 24 11 13 13 12 12 15 21 17 19 12 24 C198 14 11,14 13 29 24 11 13 13 12 12 15 18 16 17 12 23 C276RL 14 11,14 13 29 24 11 13 13 12 12 15 19 15 19 12 23 C294 14 11,14 13 29 24 11 13 13 12 12 15 19 15 17 11 24 C236 14 11,14 13 29 24 11 13 13 12 12 14 19 15 18 12 23 C85RL 14 11,14 13 29 24 11 13 13 12 12 14 19 16 16 11 24 C12 14 11,14 13 29 24 11 13 13 12 11 15 19 17 18 12 23 C194 14 11,14 13 29 24 11 13 13 12 11 15 19 17 17 12 23 C197 14 11,14 13 29 24 11 13 13 12 11 15 19 15 16 >13 24 C318 14 11,14 13 29 24 11 13 13 12 11 15 19 16 17 12 23 C345 14 11,14 13 29 24 11 13 13 12 11 15 19 15 18 12 23 C66RL 14 11,14 13 29 24 11 13 13 12 11 15 19 16 19 12 23 C205 14 11,14 13 29 24 11 13 13 12 11 14 19 15 17 12 23 C158 14 11,14 13 29 24 11 13 13 12 10 15 19 16 20 13 23 Common haplotype identified by the European Minimal Haplotype markers (20 individuals in Yfiler haplotype database*) European Minimal Haplotype 0 # of different haplotypes 20 YfilerTM 8 PP Y * http://www.appliedbiosystems.com/yfilerdatabase/
  • 83. So…the logic does work… More loci… better resolution… But…doesn’t the size of the database matter?
  • 84. European Minimal Haplotype 0 # of different haplotypes 20 YfilerTM 6 PP® Y Individuals sharing haplotypes 20 4, 4, 2, 6 0 Point Estimate (N = 3561) 0.0056 0.00028 0.0011 0.0011 0.0006 0.0017 N= 1000 0.02 0.004 0.004 0.002 0.006 0.001
  • 85. Approaching Analysis • Unlikely approach because information gain is low • Many samples will already be very limited • Community will rely on commercially available kits not in-house designer systems • QC/ Proficiency Testing • Better to increase size of database(s) to gain power • We will re-visit substructure issues later
  • 86. Approaching Analysis • Some may suggest - “A reference database should contain related individuals” – to better define the population • Probability of paternal relative having the same haplotype is usually 1 • Databases are typically comprised of unrelated individuals • Although a small unknown number of related individuals may be in a database • Able to address significance of a very closely related profile
  • 87. Exclusion with 1 mismatch among 12 analyzed Y- STRs Evidence 14 12 28 25 11 11 13 14,14 11 11 15 Known 14 12 28 24 11 11 13 14,14 11 11 15 By having a database of unrelated males one can assess weight of relative (with mutation) versus rarity of haplotype in population
  • 88. Qualitative Conclusions of Y-STR Haplotype Comparison Exclusion - The two haplotypes are dissimilar; i.e, the reference person is excluded as the contributor of Y-specific DNA of the evidence sample Inclusion/Match - The Y haplotypes from two samples are sufficiently similar and potentially could have originated from the same source, or from a common paternal lineage Inconclusive - Exclusion/Inclusion cannot be definitively inferred due to insufficient data from one or both of the DNA samples
  • 89. Calculation to Convey to the Court • Frequency estimate not possible • Court desires a frequency estimate • Point Estimate (Counting Method) • Confidence Interval • Approach the same as mtDNA
  • 90. • The vast majority of possible haplotypes will not be observed in any database • The counting method is likely to be conservative • A correction for sampling • A correction for substructure Calculation to Convey to the Court ??
  • 91. Calculation to Convey to the Court Approaches • It is more likely that the counting method will be employed by the U.S. laboratories and courts because of its operational simplicity
  • 92. Limitations of the Counting Method • Non-matched sites of the haplotype are given weight equal to that of different origin (but may have some extra value for substructure) • Mutations are not weighted • Haplotypes of the same paternal lineage can be excluded, when they are subject to mutations • Does not recognize evolutionary changes, and/or effect of convergent mutations
  • 93. CI = p ± 1.96 p(1-p)/N For Y haplotype observed, count the number of times the profile is observed (X) p = X/N 95% Upper bound on frequency Where • N is the size of the database
  • 94. What about for Y haplotype that is not observed in your database?? The upper bound of the CI is 1-1/N Where •  is the confidence level (0.05 for a 95% CI) • N is the size of the database Following: W. E. Ricker, 1937. Journal of the American Statistical Association, Vol. 32, No. 198: 349-356.
  • 95. Maximum haplotype frequency • If a Y-haplotype is not seen in a sample of N males then at the  level of significance: • Maximum frequency = 1 - 1/N • Confidence level = 1-  • As N becomes larger, maximum frequency becomes closer to point estimate This is why databases will drive our statistical strength
  • 96. N frequency • 100 3/100 (0.03) • 500 3/500 (0.006) • 1,000 3/1,000 (0.003) • 10,000 3/10,000 (0.0003) Haplotype frequency
  • 97. Calculation to Convey to the Court Confidence Interval • In many instances, the evidentiary haplotype may not be observed in the reference database • As a consequence, the usual assumption of a Normal distribution may not apply for Y-STR haplotype frequency estimates • Ricker’s theory (1937) accommodates this requirement • The counts as well as the confidence bounds are divided by the number of haplotypes sampled in the entire database to estimate the probability of a match
  • 98. Online available Y-STR haplotype reference databases How de we actually get our Haplotype frequencies? http://www.appliedbiosystems.com/yfilerdatabase/ Applied Biosystems Yfiler http://www.promega.com/techserv/tools/pplexy/default.htm Promega Powerplex Y
  • 100.
  • 101. Haplotype data can be input manually or through file upload.
  • 102. Of Course, There are no matches when testing this many loci.
  • 103.
  • 104.
  • 105. A random Y haplotype
  • 106. Haplotype data are input manually
  • 107. Of Course, There are no matches when testing this many loci.
  • 108. So using our formula from before and an  = 0.05 1-1/N 1 – (0.05)1/4004 = 0.00075
  • 109.
  • 110.
  • 111. So, lets try a haplotype that has been seen in the Database…
  • 112. A general search returns 21 matches in the database.
  • 113. CI = p ± 1.96 p(1-p)/N What p…? What N…?
  • 114. We can evaluate these matches by looking at the distribution of matches among the various population groups.
  • 115.
  • 116.
  • 117. CI = p ± 1.96 p(1-p)/N We can do like we did before…looking at the frequency in the whole database: CI = 0.0052 + 1.96√ (0.0052(0.9948))/4004 Upper bound would be: 0.00743
  • 118. CI = p ± 1.96 p(1-p)/N Or we could do specific to the population group in which the match was found: CI = 0.0076 + 1.96√ (0.0076(0.9924))/1311 Upper bound would be: 0.0123 Caucasians
  • 119. CI = p ± 1.96 p(1-p)/N Or we could do specific to the population group in which the match was found: CI = 0.0067 + 1.96√ (0.0067(0.9933))/894 Upper bound would be: 0.01205 Hispanics
  • 120. CI = p ± 1.96 p(1-p)/N Or we could do specific to the population group in which the match was found: CI = 0.0036 + 1.96√ (0.0036(0.9964))/1108 Upper bound would be: 0.00712 African American
  • 121. • Correction for population structure may be considered • Effective population size ¼ of autosomal loci • May actually be a little lower • Substructure effects less in US than ancestral populations • Use when reference database considered not representative Calculation to Convey to the Court Population Substructure
  • 122. Problems created by population subdivision Haplotype frequencies calculated from population average frequencies couldlead to: –Wrong estimates!
  • 123. Employ a Theta (q ) Correction q is used as a measure of the effects of population substructure (inbreeding, coancestry)
  • 124. NRCII q recommendation was pragmatically set Empirical values are much less for autosomal loci National Academy of Sciences May 1996
  • 125. Still need to calculate substructure effects But likely to be low for most major populations, if evaluated under a forensic model vs that of an evolutionary model
  • 126. U.S. Y-STR Haplotype Reference Database www.ystr.org/usa AA CAU HIS Total Number of populations sampled 10 11 9 30 Number of individuals sampled 599 628 478 1,705 Number of Y-STR loci typed (EMH) 9 9 9 9 Number of different haplotypes 454 76% 437 70% 354 74% 1116 65% Haplotype diversity 99.8% 99.6% 99.5% 99.7% Most frequent haplotype 12 2.0% 25 3.98% 19 3.97% 53 3.1% Kayser et al. J. Forensic Sci. (2002), 47(3): 5513-519
  • 127. Hispanic Structure of U.S. Populations with Y-STR Haplotypes Florida EA European-American African-American Virginia AA Florida AA Maryland AA Texas AA New York AA Pennsylvania AA Missouri AA Oregon AA Indiana AA Lousiana AA Pennsylvania EA New York EA Indiana EA Missouri EA Lousiana EA Maryland EA Pennsylvania H Florida H New York H Connecticut H Texas EA Cajun EA Virginia EA Oregon EA Oregon H Maryland H Lousiana H Texas H Virginia H RST = 0.1 RST: measure for population differentiation Kayser et al. J. Forensic Sci. (2002), 47(3): 5513-519
  • 128. African American Asian Caucasian Hispanic Native American Afr-Cau-His All 5 Population Partition (%) of genetic variance (AMOVA) 98.96 98.69 98.45 99.08 96.98 87.19 83.40 A A = within sample population 1.04 1.31 1.55 0.92 3.02 1.02 1.25 B B= among sample populations within major population group (or regional variation) --- --- --- --- --- 11.79 15.35 C C = among major population components for North American populations
  • 129. FST (AMOVA) African American Asian Caucasian Hispanic Native American Afr-Cau-His All 5 Population 0.0104 0.0131 0.0155 0.0092 0.0302 0.1179 0.1535 FST AMOVA routine (with the option of allele size difference) of Arlequin 2.0 ST
  • 130. FST (AMOVA) African American Asian Caucasian Hispanic Native American Afr-Cau-His All 5 Population 0.0051 0.0148 0.0071 0.0061 0.0188 0.0745 0.1001 FST Note: Asian is likely inflated and more data are needed to assess FST 0.0104 0.0131 0.0155 0.0092 0.0302 0.1179 0.1535 ФST AMOVA routine (without the option of allele size difference) of Arlequin 2.0
  • 131. FST (AMOVA) African American Asian Caucasian Hispanic Native American Afr-Cau-His All 5 Population 0.0051 0.0148 0.0071 0.0061 0.0188 0.0745 0.1001 FST 0.0006 0.0039 -0.0005 0.0021 0.0282 ------ ------ FST autosomal
  • 132. f (haplotype) = pi + q (1- pi) Formula Note: θ is the limiting factor! With q of 0.01 and our p of 0.00028: 0.00028 + (0.01 x (1 – 0.00028)) 0.00028 + 0.0099 ≈ 0.0103
  • 133. q Pool populations --- Impact • US populations • Intra-individual variation • Most common haplotypes the same • What is the frequency of unknown or uncommon haplotypes in different datasets? • Even if there is substructure Most frequent
  • 134. Y STR haplotype is one locus with many alleles A1 A2 . . . . A100 Population 1 A101 A102 . . . . A200 Population 2 Databases with reasonable size approximate this model θ is almost 0
  • 135. A1 A2 . . . . An Population 1 A1' A2' . . . . An' Population 2 In reality, with large number of loci a few types are shared and most if not all have never been seen in the database θ approaches 0 Y STR haplotype is one locus with many alleles
  • 136. So the more loci typed, the more haplotypes/alleles will be in the database Thus, multi-locus kits are valuable for this aspect q approaches 0 In the process of calculating q under forensic model*** Y STR haplotype is one locus with many alleles
  • 137. Forensic Model Population Substructure DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385 A --- 14 12 29 24 10 15 12 11-14 E --- 18 12 25 24 10 15 15 11-18 B --- 14 13 29 24 10 15 12 11-14 C --- 14 13 29 24 12 15 12 10-14 D --- 18 11 25 24 10 13 15 12-18 Which haplotypes might be more closely related?
  • 138. Forensic Model Population Substructure DYS19 DYS389I DYS389II DYS390 DYS391 DYS392 DYS393 DYS385 A --- 14 12 29 24 10 15 12 11-14 C --- 14 13 29 24 12 15 12 10-14 Are such evolutionary differences considered in forensic evaluation? E --- 18 12 25 24 10 15 15 11-18 A --- 14 12 29 24 10 15 12 11-14 Exclusion Exclusion
  • 139. Locus Caucasian (N = 199) Afr Amer (N = 203) Hispanic (N = 207) Asian (N = 83) Total (N = 692) DYS391 11:10 1 DYS389I 12:13 1 DYS389II 29:30 30:29 1* DYS439 13:12 11:12 2 DYS438 0 DYS437 15:16 15:14 2 DYS19 16:17 2 17:16 DYS392 0 DYS393 14:15 1 DYS390 0 DYS385 14:15 14:15 12,14:14 3 Total 2/2388 6/2436 2/2484 3/996 13/8304 0.00084 0.00246 0.00081 0.0031 0.00157 Y STR mutations (father:son allele transmission)
  • 140. • 692 confirmed father-son pairs (probability > 99.9%) • 14 mutation events were observed • Average rate of 1.57 x 10-3/locus /generation (13/8304) • With a 95% confidence bound of 0.83 x 10-3 to 2.69 x 10-3 • This rate is a little smaller than that of the Kayser, et al. • Estimate (2.80 x 10-3/locus) • But the difference is not statistically significant (P > 0.05). one Asian father-son pair at the DYS389I/II loci complex (12,29)  (13, 30) appears as a double mutation, but likely is a single original event. Y STR mutations (father:son allele transmission)
  • 141. Mutation?? Likelihood calculation 14, 12, 28, 22, 10, 11, 14, 13-14, 19-21 14 14, 12, 28, 22, 10, 11, 13, 13-14, 19-21 13 Mutation: µ (DYS393) = 3.2 x 10-3 ? f obs= 0.001 fobs = 0.007 7 5 Paternal Relatives share the same haplotype Are they related? L(X) = 0.001 x 5 x µ/2 + 0.007 x 7 x µ/2 (related) L(Y) = 0.001 x 0.007 (non-related) LR (X/Y) ≈ 12 for patrilinear relationship
  • 142. Next Task • Test independence between autosomal loci and Y haplotypes
  • 143. Independence Testing of Y Haplotype and 13 Autosomal CODIS STR Loci (Autosomal Locus/ Y Haplotype Displaying Disequilibria* - 22 populations) 1. Apache FGA, p-value = 0.03760000 D21S11, p-value = 0.03460000 D18S51, p-value = 0.02820000 D5S818, p-value = 0.02660000 2. Minnesota Asian D8S1179, p < 10-3 3. Minnesota Hispanic D16S539, p-value = 0.03340000 D18S51, p-value = 0.02100000 4. Canada African American FGA, p-value = 0.00920000 5. Canada Asian Indian D7S820, p-value = 0.02820000 6. Connecticut African American FGA, p-value = 0.04300000 THO1, p-value = 0.00280000 7. Connecticut Caucasian THO1, p-value = 0.02880000 8. Michigan Caucasian D16S539, p-value = 0.04820000
  • 144. 13. New York Caucasian D7S820, p-value = 0.01660000 14. New York Hispanic D21S11, p-value = 0.01340000 15. Texas African American D13S317, p-value = 0.01200000 D18S51, p-value = 0.01420000 16. Texas Hispanic D5S818, p-value = 0.01880000 9. Michigan Hispanic vWA, p-value = 0.03160000 FGA, p-value = 0.02240000 10. Native American Total D3S1358, p-value = 0.02680000 D21S11, p-value = 0.00060000 D18S51, p-value = 0.00840000 11. Navajo D21S11, p-value = 0.02820000 12. New York Asian D16S539, p-value = 0.00740000 Independence Testing of Y Haplotype and 13 Autosomal CODIS STR Loci (Autosomal Locus/ Y Haplotype Displaying Disequilibria* - 22 populations)
  • 145. Next Task • Mixtures • Assume 2 alleles for 11 loci • 211 possible haplotypes with PP Y – 2048 • Most haplotypes not observed in database • Assumption of independence not correct • Minimal haplotype frequency (minimum allele frequency) not practical
  • 146. Mixture • Probability of Exclusion • Binomial distribution - haplotypes excluded and haplotypes not excluded • Count number (m) not excluded; (PI = m/n) • Estimate upper CI of PI • PE = 1- PI • Based on same principles used for autosomal loci (but at haplotype level)
  • 147. • Four scenarios for two contributor sample in example: •Hp --- S1 and S2 are source • Hd --- S1 and unknown are source (same as PI) • Hd --- S2 and unknown are source (same as PI) • Hd --- two unknowns are source Mixture Likelihood Ratio
  • 148. • Assume three loci, two alleles at each locus, two male suspects •Total alleles the same as in evidence • Equal contribution • 8 possible haplotypes Mixture Likelihood Ratio
  • 149. 13/15 8/10 22/25 --- 3 locus profile 15 8 22 --- haplotype 2 15 8 25 --- haplotype 4 13 10 22 --- haplotype 5 15 10 22 --- haplotype 6 13 10 25 --- haplotype 7 13 8 25 --- haplotype 3 15 10 25 --- haplotype 8 13 8 22 --- haplotype 1 All haplotypes included are PE/PI
  • 150. PE/PI All possible haplotypes are included 13/15, 8/10, 22/25 --- 3 locus profile 15 8 22 --- haplotype 2 15 8 25 --- haplotype 4 13 10 22 --- haplotype 5 15 10 22 --- haplotype 6 13 10 25 --- haplotype 7 13 8 25 --- haplotype 3 15 10 25 --- haplotype 8 13 8 22 --- haplotype 1 But certain haplotype pairs can not explain evidence haplotype 1 + haplotype 2 haplotype 1 + haplotype 3 haplotype 1 + haplotype 4 haplotype 1 + haplotype 5 and so on
  • 151. haplotype 1 + haplotype 8 haplotype 2 + haplotype 7 haplotype 3 + haplotype 6 haplotype 4 + haplotype 5 Only certain haplotype pairs can explain evidence PE/PI All possible haplotypes are included 13/15, 8/10, 22/25 --- 3 locus profile 15 8 22 --- haplotype 2 15 8 25 --- haplotype 4 13 10 22 --- haplotype 5 15 10 22 --- haplotype 6 13 10 25 --- haplotype 7 13 8 25 --- haplotype 3 15 10 25 --- haplotype 8 13 8 22 --- haplotype 1
  • 152. LR = 1 2[Pr(H1)Pr(H8) + Pr(H2)Pr(H7) + Pr(H3)Pr(H6) + Pr(H4)Pr(H5)] Mixture Likelihood Ratio
  • 153. • Technically correct • Can not estimate individual haplotype frequencies • 217 (131,072) possible haplotypes (Yfiler) 211 (2048) possible haplotypes (PP Y) • Not all combinations can explain the evidence • Assuming independence is not correct • Cannot place types in database, most never seen, too many Mixture LR
  • 154. Use same logic as PI for the denominator in the LR Haplotypes fall into either category Only E/E can explain the evidence and only a subset of these fit E/E and E/E pairs can not explain the evidence E = excluded E = not excluded
  • 155. m*/n(n-1) and take upper CI as denominator Mixture LR m* - those pairs (of E/E) that explain evidence
  • 156. LR = 1 m*/n(n-1) Mixture LR • The denominator is the PI with an assumed number of contributors • Makes better use of data
  • 157. Online available Y-STR haplotype reference databases We still have the problem that none of these (or PopStats) is designed to enable mixture calculations!! Calculation of reporting statistics is quite straight-forward with the help of the searchable databases And doing this with 12 or 17 loci by hand… …would be a bear!
  • 158. John V. Planz, Ph.D UNT Center for Human Identification jplanz@hsc.unt.edu