State v. Duran

881 P.2d 48, 118 N.M. 303
CourtNew Mexico Supreme Court
DecidedAugust 25, 1994
Docket21188
StatusPublished
Cited by5 cases

This text of 881 P.2d 48 (State v. Duran) is published on Counsel Stack Legal Research, covering New Mexico Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Duran, 881 P.2d 48, 118 N.M. 303 (N.M. 1994).

Opinion

OPINION

BACA, Justice.

This opinion is the companion to our opinion in State v. Anderson, 118 N.M. 284, 881 P.2d 29 (1994). In Anderson, we hold that deoxyribonucleic acid (“DNA”) evidence is admissible in New Mexico courts and that any controversy regarding the procedures used and results obtained goes to the weight of the evidence and is a matter properly left to the jury. Id. at 801, 881 P.2d at 46. Here, we address the admissibility of testimony and other evidence concerning the “ceiling method” for estimating the population frequency of a DNA pattern. The defendant, Duran, filed an interlocutory appeal in the Court of Appeals and the Court of Appeals certified this appeal to us. NMSA 1978, Section 34-5-14(C) (Repl.Pamp.1990). We affirm the trial court’s ruling that the evidence involving DNA typing and the statistical probabilities based on both the fixed-bin method used by the Federal Bureau of Investigation (“the FBI”) (discussed at length in Anderson, 118 N.M. at 295-301, 881 P.2d at 40-46) and the “modified ceiling principle” method recommended in the report entitled DNA Technology in Forensic Science (“the NRC report”), jointly prepared by the Committee on DNA Technology in Forensic Science, the Board on Biology, the Commission on Life Sciences, and the National Research Council (also discussed in Anderson) were admissible at trial.

I.

Duran was charged with criminal sexual penetration in the second degree (five counts) and kidnapping. Because this Court has not been supplied with any of the underlying facts in this ease, we proceed immediately to recite the procedural history.

After charging Duran, the State notified him that it intended to introduce DNA evidence at trial. Duran filed a motion to exclude the scientific testimony regarding the DNA evidence and requested a hearing pursuant to Frye v. United States, 293 F. 1013 (D.C.Cir.1923). 1 The trial court conducted the Frye hearing and took judicial notice of the expert testimony presented in Anderson. The trial court concluded that the DNA profiling evidence was relevant and admissible and determined that “the protocol and/or procedures employed by the FBI ... when combined with the calculation of the coincidental match probabilities under the NRC approach, is generally accepted as reliable in the relevant scientific community.” Duran requested that the court’s order be certified for interlocutory appeal and applied to the Court of Appeals for leave to file the appeal. The Court granted the application and certified the appeal to this Court.

II.

We first address Duran’s argument that the trial court abused its discretion in denying his motion to exclude the DNA profiling evidence. Duran incorporates all of the arguments contained in the answer brief of Defendant Jay Allen Anderson in State v. Anderson and more specifically argues that the modified ceiling method recommended in the NRC report is “not based on well-recognized scientific principle, and therefore is not valid.”

This Court has already determined in Anderson, 118 N.M. at 301, 881 P.2d at 46, that DNA profiling evidence and probability statistics based on the FBI’s fixed-bin method are admissible in New Mexico courts. In Anderson we applied the relevancy standard set out in State v. Alberico, 116 N.M. 156, 861 P.2d 192 (1993), and concluded that any questions concerning the particular procedures or the statistical methodology used by the FBI to compute probability statistics pertained to the weight of the evidence not its admissibility and was properly left to the jury. Id. at 301, 881 P.2d at 46.

Duran’s argument, however, presents us with a slightly different question because this appeal, while questioning the validity of DNA typing evidence in general, challenges specifically the modified ceiling method utilized by the FBI to reach a statistical probability that the match was “coincidental.” The “ceiling principle” was described in detail by the State’s expert witness, FBI special agent Michael Vick:

[The NCR] reeommend[s] that we use something called the 95% upper confidence limit. What that means is that you will take your statistics that you have developed for your different populations and you run it through an equation that they have set forth in the report, that gives you ... a 95% confidence limit____that [your] figure ... is correct____ Then you ... compare that [figure] between all of the different racial categories — the Blacks, the Whites and the Hispanics — and rather than presenting three different statistics, you ... take the statistic from each of those categories that is the most conservative. So if you have 5% in the Caucasian, 10% in the Blacks, and 8% in the Hispanics, you would take 10% as being the value for that particular band, because that’s the most conservative across all three of your databases____ So if the figure that you arrived at from your own calculations based on your own data base is 10% or above, in other words, it was 15% or 20%, you can use those calculations. If the 95% upper confidence limit using your database gives you a figure that is below 10%, say 8% or 5%, ... you can never use anything below 10%.

Agent Vick stated that the ceiling method generally would result in a more conservative estimate than the FBI’s fixed-bin method and that the FBI in this case prepared statistical probabilities based on both its fixed-bin method and the modified ceiling principle.

Duran first points out that he is Hispanic and that the defendant in Anderson was Caucasian. Duran states that

[b]ecause no new database has been developed, the FBI used the same databases in Duran’s ease as used in Anderson’s ease. However, rather than making a calculation in Duran’s ease based on the Hispanic database alone, under the modified ceiling principle, the FBI used three databases (Hispanic, Caucasian, and African-American) to generate their probability estimate.

While acknowledging that the ceiling method generally yields a more conservative result than that reached through the fixed-bin method, Duran contends that the ceiling method is not scientifically valid because the NRC’s recommendation “was made without actual knowledge of the extent of the problem which it is designed to correct.” Duran directs this Court to an article in which many reputable scientists question the use of the NRC’s ceiling principle. See William C. Thompson, Evaluating the Admissibility of New Genetic Identification Tests: Lessons from the “DNA War”, 84 J.Crim.L. & Criminology 22 (1993). Basically, these scientists believe that the ceiling method, although more conservative than the fixed-bin method, cannot adequately compensate for the possibility of substructure in the population because no one is certain to what extent subgroups exist in the population, if at all, and to what extent the results will be unreliable if the substructuring theory is valid. Duran contends that because there is much controversy over the substructure argument and how to adequately compensate for substructures in the population, if they exist, the modified ceiling method is not scientifically valid.

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881 P.2d 48, 118 N.M. 303, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-duran-nm-1994.