A Simplified Guide To DNA

Evidence

Introduction
The establishment of DNA analysis within the criminal justice system in the
mid-1980s revolutionized the field of forensic science. With subsequent
refinement of DNA analysis methods in crime laboratories, even minute
amounts of blood, saliva, semen, skin cells or other biological material may
be used to develop investigative leads, link a perpetrator or victim to a crime
scene, or confirm or disprove an account of the crime.
Because of the accuracy and reliability of forensic DNA analysis, this
evidence has also become an invaluable tool for exonerating individuals who
have been wrongfully convicted.

The successes of DNA evidence in criminal trials has captured more than
headlines, howeverit has captured the publics imagination as well. Jurors
now increasingly expect DNA evidence to be presented in a wider array of
cases, even when other types of evidence may be more valuable to the
investigation.

Principles of DNA Evidence

DNA is sometimes referred to as a genetic blueprint because it contains the
instructions that govern the development of an organism. Characteristics
such as hair color, eye color, height and other physical features are all
determined by genes that reside in just 2% of human DNA. This portion is
called the coding region because it provides the instructions for proteins to
create these features. The other 98% of human DNA is considered non-
coding and the scientific community has only recently begun to identify its
functions.
Forensic scientists, however, use this non-coding DNA in criminal
investigations. Inside this region of DNA are unique repeating patterns that

can be used to differentiate one person from another. These patterns, known
as short-tandem repeats (STRs), can be measured to define the DNA profile
of an individual.
All cells, except mature red blood cells, contain DNA. Any sweat, semen,
body fluids or skin cells left behind at a crime scene can be examined for
their unique STR signature to possibly link a person to the sample. While
thousands of people may share several markers of their STR signature, there
has been no case to date where two people have been found to have
matching STR markers in all 13 areas used for comparison (except identical
twins).

Different DNA, Different Uses

DNA can be found in either the nucleus of the cell (the center of the cell), or
the mitochondria outside of the nucleus. Inside the nucleus, there are two
types of DNA: DNA can reside in either the autosomal chromosomes or the
sex-determining chromosomes. Autosomal DNA is primarily used in criminal
investigations because, with the exception of identical twins, no two people
have the same autosomal DNA.
However, for certain cases, such as sexual assault, examining DNA residing
in sex-determining chromosomes can be very helpful during analysis. If the
suspect in a sexual assault case is a male (has Y chromosomes) and the
victim is female (has X chromosomes), conducting an analysis of the STR
patterns in cells with Y chromosomes (referred to as Y-STR) can eliminate
from the analysis the cells belonging to the female. Y chromosomes are
passed through the paternal linea brother, father and male children will
exhibit the same Y chromosome.

Mitochondrial DNA (mtDNA), on the other hand, is inherited from the
biological mother, so all persons related maternally have the same mtDNA
(although there is a slight chance that a change in mtDNA from parent to

offspring could exist). Because mtDNA is present in much higher quantities

than nuclear DNA and doesnt degrade as quickly as autosomal DNA, mtDNA
is useful for identifying missing persons or unidentified remains.

Why and when is DNA evidence

examined?
DNA evidence is especially valuable for investigating violent crimes such as
homicides or sexual assaults because blood, semen or saliva may be left
behind by the perpetrator or victim. If the blood found in a suspects car
contains the victims DNA, this is a powerful piece of physical evidence
possibly linking the victim to that vehicle. If a perpetrator leaves behind a
mask, cigarette butt or empty soda can at the scene, samples of sweat, skin
cells or saliva can be collected and the resulting DNA profile compared to
samples from the parties in question.

Biological evidence may also be discovered and collected in less violent
crime scenes such as vehicle break-ins, but because laboratory resources are
limited, the analysis and comparison of DNA evidence is typically conducted
in the following types of cases:

sexual assaults
homicides
robberies
missing and unidentified persons

DNA analysis has also been used to help exonerate those convicted of crimes
they did not commit. These post-conviction investigations often hinge on
DNA evidence as the key information that confirms the innocence of the
individual or the guilt of someone else. Many such cases have been
successful because the use of DNA analysis was either non-existent or
rudimentary at the time of the conviction.
The widespread awareness of the power of DNA analysis and the influence
of courtroom television dramas has increased the number of jurors who
expect to see DNA evidence in every criminal trial. According to a 2008
study, 22% of jurors expected DNA evidence to be presented in every
criminal case [Shelton, N IJ JOURNAL]. In fact, when DNA analysis is not
presented, trial lawyers often must present the reasons why it is not
presented or why it was not collected or tested. For example, if a family
member assaults another family member within their home, DNA of both
parties will be found all over the home because they both live there, so DNA
may not be helpful in determining guilt as some other form of evidence.

Developing Leads Using DNA

If a case has no suspects to compare the DNA evidence to, the profile of DNA
collected at the scene can be entered into the FBIs Combined DNA Index
System (CODIS) so that it can be compared to existing DNA records at the
local, state or national level. By doing this, investigators may find a positive
match to someone whose DNA profile is in CODIS and thereby identify a
person of interest. Investigators can also search other countries databases
through INTERPOL, an international police organization. This could be
beneficial if the investigator has reason to believe the perpetrator was from
another country.

How Its Done

Sources of DNA Evidence
The biological material used to determine a DNA profile include blood,
semen, saliva, urine, feces, hair, teeth, bone, tissue and cells.

Samples that May be Used

Investigators collect items that could have been touched or worn by persons
involved in a crime. The following items may contain DNA material:

Masks
Hats

Gloves
Clothing

Tools
Weapons
Sexual assault evidence kits
Underclothes
Bedding
Dirty laundry
Fingernail scrapings
Cups/bottles
Cigarettes

Toothpicks
Toothbrush
Facial tissue
Hairbrush
Eyeglasses
Condoms
Tape
Ligatures (rope, wire, cords)
Stamps or envelopes

The best evidence occurs when a persons DNA is found where it is not
supposed to be. For example, consider a breaking-and-entering that
occurred in a residential area. Near the point of forced entry, a knit cap was
found which the homeowners confirm was not theirs. Several head hairs
were recovered from the inside, one of which had a root with tissue
attached, which made it possible to obtain a DNA profile. The DNA profile
was used to identify the perpetrator.

A crime scene investigator uses a swab to collect blood from a crime scene.
(Courtesy of NFSTC)


A cigarette butt found at a crime scene may contain valuable DNA material in
the dried saliva. (Courtesy of NFSTC)

DNA evidence from both the victims blood and the perpetrators skin cells may
be available from this hammer. (Courtesy of NFSTC)
As technology advances, forensic scientists are able to analyze smaller and
smaller biological samples to develop a DNA profile. For example, if a person
touched an object or weapon, skin cells may have been left behind. This low-
level DNA is sometimes referred to as touch DNA. It can even be collected

from a victims skin or bruises where they were handled roughly. Low-level
DNA samples may be helpful when examining evidence where it would be
difficult to retrieve fingerprintssuch as textured surfaces on gun handles
or automobile dashboards. However, not all jurisdictions have the capability
to process this evidence.
To compare the victims or suspects DNA profile to the recovered crime-
scene DNA, the laboratory will need to have their known biological samples
available for a side-by-side comparison. These known samples are called
reference samples. In some jurisdictions, a DNA sample is routinely taken
from an arrestee during the process of booking and fingerprinting. However,
this is an evolving area of law and states vary in their laws governing the
collection of DNA from arrestees. Sometimes a court order is required to
retrieve a reference from a person of interest. Reference samples are always
collected from victims unless they choose not to cooperate with the
investigation; in that case, a court order might be required.

Reference samples are often collected by swabbing the inside of the cheek.
In addition to unknown and reference samples, elimination samples are
often collected from consensual sex partners and others, such as first
responders, crime scene personnel and analysts working the case so they
can be excluded from the investigation.
It is important that biological evidence be properly collected and preserved
as it can easily degrade when exposed to heat or humidity. Storing evidence
in cool environments is preferred; however, research has shown that room
temperature conditions are suitable for storing dried stains as long as the
humidity is controlled. Liquid samples should be transported in refrigerated
or insulated containers.

Who Conducts DNA Analysis

DNA analysts working in laboratories that participate in the FBIs National
DNA Index System (NDIS) and/or are accredited by a recognized
organization must meet specific educational and training requirements. At a
minimum, a bachelors degree in biology, chemistry, or a forensic science-
related area is required. In addition, the analyst should have successfully
completed nine hours of coursework at the undergraduate or graduate level
covering the following subject areas: biochemistry, genetics, molecular
biology, as well as coursework or training in statistics and/or population
genetics, as it applies to forensic DNA analysis.
To ensure analysts skills are kept up to date, analysts who are actively
employed at a crime laboratory are also required to meet continuing
education requirements. These requirements are stipulated by the FBIs
Quality Assurance Standards (QAS) (http://www.fbi.gov/about-
us/lab/codis/qas_testlabs).
The specialists who conduct DNA analysis in the laboratory are referred to
by several different titles, including: Crime Laboratory Analyst, Forensic
Examiner, Forensic Scientist and Forensic Laboratory Analyst.

How and Where DNA Testing is Performed

DNA testing must be conducted in a laboratory with dedicated facilities and
equipment that meet the FBIs stringent QAS requirements
(http://www.fbi.gov/about-us/lab/codis/qas_testlabs). Most publicly
funded DNA crime laboratories in the United States are part of state,
regional or municipal law enforcement agencies and accept submissions
from multiple agencies.
Prior to performing DNA analysis at the laboratory, initial testing is often
conducted at the crime scene to determine the type of biological material in
question. Screening for the presence of biological materials may also be
conducted in the laboratory to determine if a specific biological fluid may be
present. Most biological screening tests are presumptive in nature and do
not specifically identify a bodily fluid.
To determine who deposited biological material at a crime scene, unknown
samples are collected and then compared to known samples taken directly
from a suspect or victim.
Most DNA samples submitted to a laboratory undergo the following process:
1. Extraction is the process of releasing the DNA from the cell.

2. Quantitation is the process of determining how much DNA you have.

3. Amplification is the process of producing multiple copies of the DNA in
order to characterize it.
4. Separation is the process of separating amplified DNA product to permit
subsequent identification.
5. Analysis & Interpretation is the process of quantitatively and qualitatively
comparing DNA evidence samples to known DNA profiles.
6. Quality Assurance is the process of reviewing analyst reports for technical
accuracy.

During extraction, a centrifuge is used to concentrate the sample to the base of
the tube.

How the Results are Interpreted

The DNA analysis process provides the analyst with a chart called an
electropherogram, which displays the genetic material present at each loci
tested (each of the gray bars on the graph below, except for the last one,
correspond to a locus; the final gray area is used to indicate the gender of
the individual). In a complete profile, each person will exhibit either one or
two peaks (alleles) at each locus. The following electropherogram is an
example of a profile from a single individual (i.e., a single-source profile):


Loci that display only one allele indicate that the individual inherited the
same marker from both parents at this locus. Where two alleles are
displayed, the individual inherited different markers.

This image shows that the first four loci from the unknown evidence sample
collected at the scene match the sample collected from the suspect. (This
process would be repeated for all 13 loci.)
Note: The height of each peak must exceed a predetermined quantity
threshold to be used in the analysis.

Is the suspect included?

In practice, evidence often contains a mixture of DNA from more than one
person. These mixtures can be very challenging to analyze and interpret. In
the following example, each marker from the suspect sample is included in
the mixture profile collected from the evidence.

Partial Profiles:
If any locus is missing an allele, this is considered a partial profile. Partial
profiles can happen for a variety of reasons, such as when a sample is
degraded. If a sample has peaks at every locus, but any of them fall below a
predetermined threshold, this would also be considered a partial profile.

The partial DNA profile displayed above is missing peaks at two loci. Click
image to view larger.

Comparing Profiles Against a Central Database

To enable profiles to be searched against a large, national database, the FBI
created the National DNA Index System (NDIS) in 1998. This national
database is part of the Combined DNA Index System (CODIS) that enables
law enforcement agencies throughout the nation to share and compare DNA
profiles to help investigate cases. As of 2012, there are more than 10 million

DNA profiles in the system and CODIS has produced leads that have assisted
in almost 170,000 investigations (http://www.fbi.gov/about-
us/lab/codis/ndis-statistics).
Once a laboratory enters a case into CODIS, a weekly search is conducted of
the DNA profiles in NDIS, and resulting matches are automatically returned
to the laboratory that originally submitted the DNA profile. CODIS has three
levels of operation:

Local DNA Index System(LDIS)

State DNA Index System (SDIS)
National DNA Index System (NDIS)
The NDIS databases contain DNA profiles from:

Convicted Offenders - DNA profiles of individuals convicted of crimes

Arrestees - profiles of arrested persons (if state law permits the collection of
arrestee samples)
Forensic unknowns - DNA profiles of unknown individuals developed from
crime scene evidence, such as semen stains or blood
Missing Persons - contains DNA reference profiles from missing persons
Biological Relatives of Missing Persons - contains DNA profiles voluntarily
contributed from relatives of missing persons
Unidentified Humans (Remains) - contains DNA profiles developed from
unidentified human remains
Each database has its own rules regarding the number of STR markers that
must be present for the profile to be uploaded. The National DNA Index
System (NDIS) requires that 13 autosomal STR markers be tested (with
more loci expected in the future), and the profile must contain information
for at least 10 loci. The requirements are less stringent for state and local
databases. States require the profile to have information for seven or more
loci, and the local database requires at least four loci to be present to be
uploaded.

FAQs
What kind of results can be expected from DNA
analysis?
Biological material that was recently deposited at a crime scene will
typically yield a full profile that contains results for all STR markers tested;
this can be used for comparing to reference samples. However, some
samples can prove difficult to analyze such as samples from a crime scene

that contain DNA from more than one individual. This is especially true for
low-level DNA samples retrieved from items such as firearms.
Typically there are three possible laboratory outcomes:
1. If the DNA profiles from the evidentiary and known samples are consistent at
each locus, laboratory analysts can interpret this finding as a match,
inclusion, or failure to exclude.
2. If the two profiles are not consistent at each locus, the finding can be
interpreted as a nonmatch or exclusion.
3. If there are insufficient data to support a conclusion, the finding is often
referred to as inconclusive.

What information does the report contain?

A DNA laboratory report typically includes the following information:

Administrative information on the case, such as agency, file number,

evidence item numbers, victim name and suspect name
Date of the report and the name and signature of the reporting analyst
Listing of all items of evidence examined, and type of methodology or
technique used
Listing of loci tested or amplification kit used
Results of the examination and/or conclusions
Interpretation of the resultant data
Statements regarding the disposition of evidence (e.g., after analysis, the
evidence is stored in the laboratory).
Reports will contain an interpretive statement which addresses whether
DNA profiles from evidence samples could be associated with or excluded
from:

A known individual (suspect, victim, third party)

Other evidence samples (scene samples, sexual assault evidence)
Database samples (offenders, forensic unknowns, or missing persons)
If one or more of the known samples is consistent with any of the evidence
samples (a match or inclusion), a statistic will be provided indicating the
rarity of the evidentiary profile. A statistic is also provided if all loci of a
partial profile match the known sample, but this is obviously not as strong as
two full-profile matches.
Based on the statistic, the jury will determine the value of the evidence. A
match at all 13 loci between an evidentiary sample and a known sample is
strong evidence that the known individual deposited the evidentiary

biological sample. If there is a match at only a few of the loci, the evidence is
considerably weaker.

What are the limitations of DNA testing?

No-suspect Cases: Being able to collect and analyze a full DNA profile is
powerful evidence, but its not always going to lead investigators to the
perpetrator. There must be a matching profile available to compare it to
either in a database or from a known sample. There is no master database
that contains everyones DNA information.
Partial Profiles: In cases where samples have very low quantities of DNA,
are exposed to extreme environmental conditions or are not properly
preserved, it may be difficult to obtain a full DNA profile and the test may
only yield a partial profile. However, partial profiles may still be helpful in
determining if an individual could be included or excluded in the
investigation.

How is quality control and quality assurance achieved?

To ensure the most accurate analysis of evidence, the management of
forensic laboratories puts in place policies and procedures that govern
facilities and equipment, methods and procedures, and analyst qualifications
and training. Depending on the state in which it operates, a crime laboratory
may be required to achieve accreditation to verify that it meets quality
standards. There are two internationally recognized accrediting programs
focused on forensic laboratories: The American Society of Crime Laboratory
Directors Laboratory Accreditation Board (http://www.ascld-lab.org/)
and ANSI-ASQ National Accreditation Board / FQS
(http://www.forquality.org/).
In addition to these quality guidelines, laboratories submitting data to the
National DNA Index System (NDIS) must adhere to the FBI Quality
Assurance Standards (QAS) (http://www.fbi.gov/about-
us/lab/codis/qas_testlabs). These standards stipulate that all DNA
casework be reviewed by a separate analyst, called a technical reviewer.
This is then followed by an administrative review of the final report.
Laboratories must undergo an external audit every two years to ensure their
processes meet the FBIs QAS.
The Scientific Working Group on DNA Analysis Methods
(http://www.swgdam.org/) provides input to the FBI on the QAS and
publishes other guidance, such as interpretation guidelines, to assist
laboratories.

Are there any misconceptions or anything else about

DNA evidence that might be important to the non-
scientist?
Due to the popularity of television crime dramas, several misconceptions
may exist regarding the use of DNA evidence. For instance, when a fictional
investigator on TV finds a matching DNA profile in a database, she will often
be presented with a picture of the persons drivers license. In real life,
CODIS does not contain or provide any personal information. To continue
the investigation, she must coordinate with the agency that analyzed and
uploaded the sample to obtain these details.
In addition, DNA analysis takes time to be done properly and every test must
be reviewed for accuracy prior to release. In a busy crime laboratory,
laboratories often have a goal of providing an analysis report within 30 days.
However, this turnaround time will vary widely depending on numerous
factors including number of other cases waiting to be analyzed; the number
of laboratory personnel available; the type and amount of biological material
submitted; the laboratorys equipment and other factors.
To compare a profile to those in a state databank will typically take several
weeks to process. Once entered into the database, profiles are continuously
searched against new profiles as they are entered to see if they match.
Additionally, while the technology exists to analyze samples with only trace
amounts of DNA, these samples may often not meet the requirements to be
entered into the national level of CODIS. Finally, while DNA evidence can
prove extremely valuable to an investigation, in some cases, other, more
traditional forms of evidence can be even more valuable to solving and
litigating a case.

Common Terms
The following glossary of common terms has been culled from the Common
Terms page of the DNA Initiative. Comprehensive glossaries are available at:
the FBI (http://www.fbi.gov/about-us/lab/codis/qas_testlabs) and The
National Human Genome Research Institute
(http://www.genome.gov/glossary/index.cfm).
Allele - The characteristics of a single copy of a specific gene, or of a single
copy of a specific location on a chromosome.
Autosomal DNA - DNA found in chromosomes which are not sex
chromosomes.

Chromosome - The biological structure by which hereditary information is

physically transmitted from one generation to the next; located in the cell
nucleus, it consists of a tightly coiled thread of DNA with associated proteins
and RNA; the genes are arranged in linear order along the DNA.
Combined DNA Index System (CODIS) - The generic term used to describe
the FBIs program of support for criminal justice DNA databases as well as
the software used to run National DNA Index System (NDIS) databases;
CODIS is made up of the National DNA Index System (NDIS), the State DNA
Index System (SDIS) and Local DNA Index Systems (LDIS).
DNA (Deoxyribonucleic acid) - Often referred to as the blueprint of life;
genetic material present in the nucleus of cells which is inherited from each
biological parent that determines each persons individual characteristics.
An individuals DNA is unique except in cases of identical twins.
DNA Profiling - The result of determining the relative positions of DNA
sequences at several locations on the molecule; each person (except
identical twins) has a unique DNA profile when used in the context of the
CODIS database, which evaluates 13 specific DNA locations.
DNA Fingerprinting - Analyses of the lengths of the fragments reveal that
when looking at multiple VNTRs (variable number of tandem repeats)
within and between individuals, no two people have the same assortment of
lengths, except identical twins; this technique became known to the public
as DNA fingerprinting because of its powerful ability to discriminate
between unrelated individuals.
Epithelial cells - Cells that cover the inner and outer linings of body cavities.
Forensic DNA Analysis - The process of identifying and evaluating
biological evidence in criminal matters using DNA technologies.
Genotype - The genetic constitution of an organism, as distinguished from
its physical appearance (its phenotype); the designation of two alleles at a
particular locus is a genotype.
Locus - The specific physical location of a gene on a chromosome; the plural
form is loci.
Low Copy Number Analysis - The analysis of samples containing a small
amount of DNA (approximately 30 cells or less); analysis of samples falling
into this category often requires enhanced analysis methods to increase the
sensitivity of detection.

Mitochondrial DNA (mtDNA) - DNA located in the mitochondria found in

each cell of a body; sequencing of mitochondrial DNA can link individuals
descended from a common female ancestor.
National DNA Index System (NDIS) - Authorized by the DNA Identification
Act of 1994, the FBI administers this national index. NDIS enables
comparison of DNA profiles associated with a crime scene to DNA profiles
collected from known convicted offenders, as well as to other crime scene
profiles. DNA profiles uploaded to NDIS are searched against the other DNA
profiles submitted by other participating states.
Nuclear DNA - DNA located in the nucleus of a cell.
Partial DNA Profile - DNA evidence that does not yield identifiable results
in all 13 core loci.
Quality Assurance Standards (QAS) - Quality assurance methods
developed by the Scientific Working Group of DNA Analysis and Methods
(SWGDAM). QAS provides guidelines to ensure the quality and integrity of
data generated by the laboratory and uploaded into the CODIS database(s);
published by the FBI.
Reference Samples - Material of a verifiable/documented source which,
when compared with evidence of an unknown source, shows an association
or linkage between an offender, crime scene, and/or victim.
Short tandem repeat (STR) - Multiple copies of a short identical DNA
sequence arranged in direct succession in particular regions of
chromosomes.
Y-STR - STR located on the Y chromosome; often examined when
investigating sexual assaults involving male suspects.

Resources & References

You can learn more about this topic at the websites and publications listed
below.

Resources
CODIS Program and the National DNA Index System FAQs
(http://www.fbi.gov/about-us/lab/codis/codis-and-ndis-fact-sheet)
The DNA Initiative (http://www.dna.gov/)

Principles of Forensic DNA for Officers of the Court

(http://projects.nfstc.org/otc/) (Online training resource funded by NIJ)
Collecting DNA Evidence at Property Crime Scenes
(http://projects.nfstc.org/property_crimes/index.htm) (Online training
resource funded by NIJ)
Forensic DNA Education For Law Enforcement Decision Makers
(http://projects.nfstc.org/fse/)

References
Butler, John M. F ORENSIC D NA T YPING - B IOLOGY , T ECHNOLOGY, A ND
G ENETICS O F S TR M ARKERS, S ECOND E DITION , Elsevier Academic Press,
Burlington, MA (2005).
Federal Bureau of Investigations, Laboratory Services, CODISNDIS
Statistics. http://www.fbi.gov/about-us/lab/codis/ndis-statistics
(accessed June 21, 2012).
Ritter, Nancy. DNA Solves Property Crimes (But Are We Ready for That?),
NIJ JOURNAL [online] 2008, 261.
http://www.nij.gov/nij/journals/261/dna-solves-property-crimes.htm
(accessed June 21, 2012).
Shelton, Honorable Donald E., The CSI Effect: Does It Really Exist?, N IJ
JOURNAL [online] 2008, 259.
http://www.ojp.usdoj.gov/nij/journals/259/csi-effect.htm (accessed
June 21, 2012).

Acknowledgments
The authors wish to thank the following for their invaluable contributions to
this forensic guide:
Debra Figarelli, DNA Technical Services Manager, National Forensic Science
Technology Center, Inc.
Robert OBrien, Senior Forensic Specialist - DNA, National Forensic Science
Technology Center, Inc.
Carrie Sutherland, NamUs Regional System Administrator, University of
North Texas Health Science Center

Forensic Evidence Admissibility and

Expert Witnesses
How or why some scientific evidence or expert witnesses are allowed to be
presented in court and some are not can be confusing to the casual observer
or a layperson reading about a case in the media. However, there is
significant precedent that guides the way these decisions are made. Our
discussion here will briefly outline the three major sources that currently
guide evidence and testimony admissibility.

The Frye Standard - Scientific Evidence and the

Principle of General Acceptance
In 1923, in Frye v. United States[1], the District of Columbia Court rejected the
scientific validity of the lie detector (polygraph) because the technology did
not have significant general acceptance at that time. The court gave a
guideline for determining the admissibility of scientific examinations:
Just when a scientific principle or discovery crosses the line between the
experimental and demonstrable stages is difficult to define. Somewhere in this
twilight zone the evidential force of the principle must be recognized, and
while the courts will go a long way in admitting experimental testimony
deduced from a well-recognized scientific principle or discovery, the thing
from which the deduction is made must be sufficiently established to have
gained general acceptance in the particular field in which it belongs.
Essentially, to apply the Frye Standard a court had to decide if the
procedure, technique or principles in question were generally accepted by a
meaningful proportion of the relevant scientific community. This standard
prevailed in the federal courts and some states for many years.

Federal Rules of Evidence, Rule 702

In 1975, more than a half-century after Frye was decided, the Federal Rules
of Evidence were adopted for litigation in federal courts. They included rules
on expert testimony. Their alternative to the Frye Standard came to be used
more broadly because it did not strictly require general acceptance and was
seen to be more flexible.




[1] 293 Fed. 1013 (1923)

The first version of Federal Rule of Evidence 702 provided that a witness
who is qualified as an expert by knowledge, skill, experience, training, or
education may testify in the form of an opinion or otherwise if:
a. the experts scientific, technical, or other specialized knowledge will help the
trier of fact to understand the evidence or to determine a fact in issue;
b. the testimony is based on sufficient facts or data;
c. the testimony is the product of reliable principles and methods; and
d. the expert has reliably applied the principles and methods to the facts of the
case.

While the states are allowed to adopt their own rules, most have adopted or
modified the Federal rules, including those covering expert testimony.
In a 1993 case, Daubert v. Merrell Dow Pharmaceuticals, Inc., the United
States Supreme Court held that the Federal Rules of Evidence, and in
particular Fed. R. Evid. 702, superseded Fryes "general acceptance" test.

The Daubert Standard - Court Acceptance of Expert

Testimony
In Daubert and later cases[2], the Court explained that the federal standard
includes general acceptance, but also looks at the science and its application.
Trial judges are the final arbiter or gatekeeper on admissibility of evidence
and acceptance of a witness as an expert within their own courtrooms.
In deciding if the science and the expert in question should be permitted, the
judge should consider:

What is the basic theory and has it been tested?

Are there standards controlling the technique?
Has the theory or technique been subjected to peer review and publication?
What is the known or potential error rate?
Is there general acceptance of the theory?
Has the expert adequately accounted for alternative explanations?
Has the expert unjustifiably extrapolated from an accepted premise to an
unfounded conclusion?

The Daubert Court also observed that concerns over shaky evidence could
be handled through vigorous cross-examination, presentation of contrary
evidence and careful instruction on the burden of proof.
In many states, scientific expert testimony is now subject to this Daubert
standard. But some states still use a modification of the Frye standard.
[2] The Daubert Trilogy of cases is: D AUBERT V . M ERRELL D OW P HARMACEUTICALS , G ENERAL
E LECTRIC C O . V . J OINER and K UMHO T IRE C O . V . C ARMICHAEL .

Who can serve as an expert forensic science witness at

court?
Over the years, evidence presented at trial has grown increasingly difficult
for the average juror to understand. By calling on an expert witness who can
discuss complex evidence or testing in an easy-to-understand manner, trial
lawyers can better present their cases and jurors can be better equipped to
weigh the evidence. But this brings up additional difficult questions. How
does the court define whether a person is an expert? What qualifications
must they meet to provide their opinion in a court of law?
These questions, too, are addressed in Fed. R. Evid. 702. It only allows
experts qualified ... by knowledge, skill, experience, training, or education.
To be considered a true expert in any field generally requires a significant
level of training and experience. The various forensic disciplines follow
different training plans, but most include in-house training, assessments and
practical exams, and continuing education. Oral presentation practice,
including moot court experience (simulated courtroom proceeding), is very
helpful in preparing examiners for questioning in a trial.
Normally, the individual that issued the laboratory report would serve as the
expert at court. By issuing a report, that individual takes responsibility for
the analysis. This person could be a supervisor or technical leader, but
doesnt necessarily need to be the one who did the analysis. The opposition
may also call in experts to refute this testimony, and both witnesses are
subject to the standard in use by that court (Frye, Daubert, Fed. R. Evid 702)
regarding their expertise.
Each court can accept any person as an expert, and there have been
instances where individuals who lack proper training and background have
been declared experts. When necessary, the opponent can question potential
witnesses in an attempt to show that they do not have applicable expertise
and are not qualified to testify on the topic. The admissibility decision is left
to the judge.

Additional Resources
Publications:
Saferstein, Richard. C RIMINALISTICS: A N INTRODUCTION T O F ORENSIC
S CIENCE , Pearson Education, Inc., Upper Saddle River, NJ (2007).
McClure, David. Report: Focus Group on Scientific and Forensic Evidence in
the Courtroom (online), 2007,

https://www.ncjrs.gov/pdffiles1/nij/grants/220692.pdf (accessed July

19, 2012)

Acknowledgements
The authors wish to thank the following for their invaluable contributions to
this guide:
Robin Whitley, Chief Deputy, Appellate Division, Denver District Attorneys
Office, Second Judicial District
Debra Figarelli, DNA Technical Manager, National Forensic Science
Technology Center, Inc.

About This Project

This project was developed and designed by the National Forensic Science
Technology Center (NFSTC) under a cooperative agreement from the Bureau
of Justice Assistance (BJA), award #2009-D1-BX-K028. Neither the U.S.
Department of Justice nor any of its components operate, control, are
responsible for, or necessarily endorse, the contents herein.
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NFSTC Science Serving Justice
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