Commonwealth v. Fowler

2 Mass. L. Rptr. 168
CourtMassachusetts Superior Court
DecidedMarch 31, 1994
DocketNos. 32440, 32464
StatusPublished

This text of 2 Mass. L. Rptr. 168 (Commonwealth v. Fowler) is published on Counsel Stack Legal Research, covering Massachusetts Superior Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Commonwealth v. Fowler, 2 Mass. L. Rptr. 168 (Mass. Ct. App. 1994).

Opinion

Steele, J.

A Superior Court jury found the defendant guilty of rape and murder in the first degree of a two-year-old child. Prior to trial, the defendant filed a motion in limine, seeking to prevent the introduction of DNA evidence to establish identity. After a hearing, the motion was denied. During the course of the trial, the defendant moved twice for a required finding of not guilty. Both motions were denied. Following the guilty verdicts and after the discharge of the jury, the defendant filed a Motion After Discharge of the Jury Pursuant to Mass.R.Crim.P. 25(b)(2). This motion was [169]*169initially denied. However, upon further consideration of the admissibility of DNA evidence, as a matter of law, this court now allows the defendant’s post-conviction Rule 25(b)(2) motion, sets aside the guilty verdicts and orders a new trial.

BACKGROUND

On April 15, 1993, a Bristol County grand jury returned indictments against the defendant for the murder and rape by force of a child. During a pre-trial conference, the Commonwealth notified defense counsel and this court that it intended to rely on evidence of a deoxyribonucleic acid (DNA) analysis conducted by the Federal Bureau of Investigation in order to establish the defendant’s identity as the perpetrator.1 The FBI laboratory had compared the DNA taken from a sample of the defendant’s bodily fluids with the DNA extracted from semen recovered on an autopsy swabbing of the child’s throat, and concluded that the DNA “matched.”2 The Commonwealth acknowledged that without the evidence of the DNA comparison, it would not have had sufficient evidence to convict the defendant.

The defendant filed a motion in limine seeking to exclude any use of or reference to the DNA evidence. As grounds for this motion, the defendant argued that the DNA evidence was not admissible under the standard articulated in United States v. Frye, 293 F. 1013 (D.C. Cir. 1923), and Commonwealth v. Curnin, 409 Mass. 218 (1991). Upon defendant’s motion, this court ordered that a voir dire hearing be held to determine whether the evidence of a DNA comparison was generally accepted by the relevant scientific community.3

The issue which emerged during the voir dire hearing, and the only part of the DNA evidence challenged by the defendant under the Frye-Curnin standard, was the statistical method used to calculate the significance of a laboratory “match” of DNA profiles. In other words, the defendant did not object to the use of the RFLP laboratory process or the FBI’s implementation of that process in this case. Rather, the defendant challenged the statistical calculation used to arrive at an estimate, in terms of probability, of how likely it would be that another person’s DNA would “match” the DNA extracted from the autopsy swabs of Hallie Thibault. The defendant argued that the statistical calculation used by the Commonwealth to establish that he was the source of the DNA recovered at the autopsy does not pass the Frye-Curnin test.

The voir dire testimony regarding this statistical calculation can be summarized as follows. The Commonwealth presented the testimony of Supervisory Special Agent John Mertens of the FBI serology and DNA analysis unit. After testifying that he holds a bachelors degree in biology, a masters degree in microbiology, and that he specializes in the serology and DNA laboratory techniques performed on physical evidence sent to the FBI laboratory, Mertens was qualified as an expert in DNA analysis and forensic serology.

Agent Mertens testified that he had performed the RFLP analysis, compared the profile of the defendant’s DNA with the profile of the DNA recovered at the autopsy, and concluded that they “matched.”

To estimate how rare or how common it would be to find another person in the general population with a DNA profile that “matched” the profile of the DNA recovered at the autopsy, Mertens explained that the FBI normally uses a statistical calculation which he referred to as the “fixed bin method.”4 Using this statistical calculation, the “matched” DNA profile in this case was compared to DNA profiles which are stored in genetic population databases. The FBI maintains four databases, Caucasian, Black, Hispanic and Native American.

Mertens testified that the “fixed bin” statistical calculation is generally accepted by the scientific community, that it has been accepted by many courts throughout the country, and that this acceptance is reflected in scientific literature.

Applying this statistical calculation to the present case, Mertens had concluded that the chance of going out into the general population and selecting another individual at random whose DNA “matched” the DNA recovered at the autopsy was one in 800,000 in the Caucasian population, one in 7,000,000 in the Black population, and one in 500,000 in the Hispanic population.5

Mertens testified that in a 1992 report, the National Research Council (NRC)6 had expressed misgivings regarding the statistical calculation used by the FBI. Mertens explained that the NRC was concerned that genetic subpopulations might exist within large genetic database populations, such as those used by the FBI. The NRC had recognized that the existence of these genetic subpopulations might affect the statistical calculation used to determine a DNA “match.”

To address the subpopulation issue, the 1992 NRC Report proposed a new statistical calculation known as the “ceiling” approach. The objective of the ceiling method is to eliminate the effect of genetic sub-populations by mathematically adding a layer of conservancy when calculating the frequency of DNA profiles.

Mertens testified that FBI studies indicate that genetic subpopulations do not exist, and that the FBI stood behind the “fixed bin” statistical calculation. However, in response to the Commonwealth’s request, Mertens also provided a computer generated statistical calculation of the probability of a DNA "match” in this case using the ceiling approach. For purposes of the ceiling approach calculation, Mertens testified that the FBI’s Hispanic database was divided into Southeastern Hispanic and Southwestern Hispanic, because FBI studies had found that a difference in allele frequencies exists between people of Cuban descent and people of Mexican descent.7 Based on the ceiling approach calculation, Mertens testified that the chance of going into the population and selecting another individual with the same [170]*170DNA profile as that recovered at the autopsy would be approximately 1 in 159,000.

The defendant’s witness, Dr. Laurence Mueller, Ph.D., testified at the voir dire hearing as follows. Dr. Mueller testified that he holds a bachelors degree in chemistry, a masters degree in biology, a Ph.d in ecology, and that he had done graduate work in genetics and post-doctoral research in the field of theoretical population genetics. Dr. Mueller testified that he specialized in the fields of population genetics and evolutionary biology. Dr. Mueller explained that his work in the field of population genetics involves studying and quantifying genetic variation in natural populations. Dr. Mueller was qualified as an expert in the field of population genetics.

Dr.

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Bluebook (online)
2 Mass. L. Rptr. 168, Counsel Stack Legal Research, https://law.counselstack.com/opinion/commonwealth-v-fowler-masssuperct-1994.