SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4962-92T1
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
MOREY MARCUS,
Defendant-Appellant.
____________________________________
Argued by telephone November 15, 1995 - Decided October
17, 1996
Before Judges Skillman, P.G. Levy and Eichen.
On appeal from Superior Court of New Jersey,
Law Division, Bergen County.
Charles J. Mysak argued the cause for
appellant.
Linda A. Rinaldi, Deputy Attorney General,
argued the cause for respondent (Deborah T.
Poritz, Attorney General, attorney; Ms.
Rinaldi of counsel and on the brief).
The opinion of the court was delivered by
SKILLMAN, J.A.D.
The primary issue presented by this appeal is whether the
results of DNA tests are admissible in a criminal trial.
After a thirty-two day trial, a jury found defendant guilty
of purposeful or knowing murder, in violation of N.J.S.A. 2C:11-3a(1)(2), felony murder, in violation of N.J.S.A. 2C:11-3a(3),
and attempted aggravated sexual assault, in violation of N.J.S.A.
2C:14-2a(3) and (4). The court sentenced defendant to life
imprisonment, with thirty years of parole ineligibility, for
purposeful or knowing murder, and a concurrent thirty year term
of imprisonment for felony murder. The court also imposed a
consecutive ten year term of imprisonment for attempted
aggravated sexual assault.
The crimes were committed in Rutherford during the early
morning hours of December 28, 1989, after defendant and the
victim had been seen drinking together in several local bars.
Defendant and the victim were seen leaving the last of these bars
around 3 a.m. Approximately an hour later, the victim staggered
into an all-night gasoline station, completely naked and covered
with blood. After asking the persons in the station and the
police who arrived shortly thereafter for help, the victim fell
unconscious and later died in the hospital. An autopsy revealed
that the cause of her death was multiple stab wounds to the neck,
chest and legs.
Within a few minutes after the victim walked into the
gasoline station, a police officer responding to the scene
observed defendant's van parked nearby with its lights on and its
side passenger door open. When the officer paused to ask
defendant what he was doing, defendant said he was on his way to
work but had stopped to urinate. After writing down the van's
license plate number, the officer proceeded to the gasoline
station. A tow truck operator at the gasoline station later
informed the officer that he had seen a van, with its side
passenger door open, go through a stop sign at an intersection
near the gasoline station around the same time that the victim
arrived there mortally wounded. The police later found a dress,
purse, sweater, coat and jewelry belonging to the victim in the
same vicinity where defendant's van had been parked, and at trial
defendant admitted discarding these items at that location.
The police investigation of the crime scene revealed a trail
of the victim's bloody footprints in snow that had fallen earlier
that evening, which ran a distance of three or four blocks to a
point of origin. At this location, the police observed a large
pool of blood, boot prints which roughly matched the size of
boots later seized from defendant, and tire tracks.
Approximately a half hour after the local police officer's
observation of defendant near the murder scene, defendant was
apprehended for drunk driving by two New Jersey State troopers.
The troopers made a cursory inspection of the interior of the van
and noticed a hunting knife and female high heel shoes. One of
the troopers also noticed dried blood on defendant's knuckles and
forehead as well as the top of his right boot. At trial,
defendant acknowledged that he threw the victim's high heel shoes
into a vacant lot after retrieving his van from the State Police.
The police were unable to find the knife used to inflict the
stab wounds upon the victim. However, the police found an empty
knife sheath inside defendant's van that could have been used to
carry the type of knife that caused the wounds. The police also
found blood stains all over the inside of the van. Serology
tests definitively determined that the bloodstains could not have
come from defendant but that the victim could have been the
source.
Defendant was arrested less than twenty-four hours after the
crime and questioned by the police. Defendant initially claimed
that he had left the victim in the parking lot of a bar at
approximately 3 a.m. and then drove away. However, after the
police confronted defendant with the fact that an officer had
seen him near the scene of the crime shortly after 4 a.m.,
defendant changed his story and asserted that he had driven the
victim to a secluded spot after she agreed to have sex with him.
According to defendant, the victim undressed and got into the
back of his van, but suddenly began acting erratically, first
yelling and screaming, and then attempting to stab him with a
knife she apparently had taken out of her purse. Defendant
asserted that after briefly struggling with him, the victim left
the van and headed in the direction of the gas station, naked but
unharmed. Although defendant at first denied stabbing the
victim, after further police interrogation he said that he could
not remember stabbing her but that "it's possible."
At trial, the State also presented DNA evidence through
experts who testified that the DNA print patterns of bloodstains
found on a pair of defendant's blue jeans seized from his bedroom
matched those of the victim and that defendant's blood could not
possibly have been the source of these bloodstains. Defendant
responded with experts who challenged the methodology of the
State's DNA testing and the results it produced.
On appeal, defendant makes the following arguments:
I. THE DNA EVIDENCE AND TESTIMONY IN THIS
CASE SHOULD NOT HAVE BEEN ADMITTED,
BECAUSE NEITHER THE PROCEDURE USED BY
LIFECODES, NOR THE RESULTS OBTAINED,
PARTICULARLY AS TO MATCHES AND THE
STATISTICAL INTERPRETATION OF SAME, HAVE
BEEN GENERALLY ACCEPTED AS RELIABLE IN
THE SCIENTIFIC COMMUNITY.
II. THE EXCLUSION BY THE TRIAL COURT OF
STATEMENTS MADE BY THE VICTIM WHILE SHE
WAS INVOLUNTARILY COMMITTED AT BERGEN
PINES HOSPITAL THAT SHE "HAD THE NERVE
TO KILL HERSELF", AND THAT SHE WISHED
"TO DESTROY" HER BOYFRIEND'S CAR WITH A
HAMMER, WAS PREJUDICIAL TO THE DEFENSE
AND COMPROMISED THE DEFENDANT'S RIGHT TO
A FAIR TRIAL IN THAT THE DEFENDANT'S
VERSION OF THE ALLEGED INCIDENT WOULD
HAVE BEEN SUPPORTED BY SAID TESTIMONY.
III. IT WAS INAPPROPRIATE FOR THE TRIAL JUDGE
TO RESPOND TO THE JURY'S QUESTION AS TO
THE APPLICABILITY OF THE DEATH PENALTY
IN THIS CASE, TO THE EFFECT THAT IT DID
NOT APPLY, BECAUSE PUNISHMENT IS NOT
WITHIN THE JURY'S PROVINCE, AND ANY
INSTRUCTION CONCERNING SAME TENDS TO
DIMINISH THE PRESUMPTION OF INNOCENCE.
IV. IT WAS HIGHLY PREJUDICIAL TO THE
DEFENDANT'S RIGHT TO A FAIR TRIAL FOR
THE TRIAL JUDGE TO PERMIT THE
INTRODUCTION OF EVIDENCE BY THE STATE OF
A COLLECTION OF KNIVES FOUND IN
DEFENDANT'S HOME AND WHICH HAD, BY THE
STATE'S OWN ADMISSION, NO EVIDENTIARY
VALUE TO THIS CASE, NOR WAS IT RELEVANT
OR PROBATIVE AS TO ANY WEAPON USED IN
THE ALLEGED INCIDENT.
V. DEFENDANT'S RIGHT UNDER THE UNITED
STATES AND NEW JERSEY CONSTITUTIONS, TO
A FAIR AND SPEEDY TRIAL, WAS VIOLATED BY
THE MORE THAN THREE-YEAR DELAY IN
BRINGING THE DEFENDANT TO TRIAL.
VI. ONCE THE JURY WAS SWORN, THE TRIAL JUDGE
ABUSED HIS DISCRETION IN EXCUSING A
JUROR FOR A FINANCIAL HARDSHIP, AND
THUS, DEPRIVED THE DEFENDANT OF THE
RIGHT TO A FAIR TRIAL.
VII. THE EXCLUSION OF THE VICTIM'S PAST
HISTORY OF VIOLENT ACTS AND WORDS, BY
THE TRIAL COURT, AS CONTAINED IN VARIOUS
POLICE AND MEDICAL RECORDS, DEPRIVED THE
DEFENDANT OF THE RIGHT TO A FAIR TRIAL
ON ALL THE RELEVANT AND PROBATIVE
EVIDENCE.
We conclude for the reasons set forth at length in section I
of this opinion that DNA analysis is generally accepted within
the scientific community and that the State established a proper
foundation for the admission of its experts' DNA analysis of
bloodstains relevant to this case. For the reasons set forth in
sections II and III of this opinion, we also reject defendant's
arguments that the trial court erred in responding to the jury's
inquiry regarding the applicability of the death penalty to this
case and that the State violated his constitutional right to a
speedy trial. Defendant's other arguments are clearly without
merit and do not require discussion. R. 2:11-3(e)(2).
Accordingly, we affirm defendant's conviction and sentence.
procedure was correctly used to produce that evidence. Romano v.
Kimmelman, supra, 96 N.J. at 81; State v. Hurd, supra, 86 N.J. at
543.
Prior to trial, the State provided defendant with a report
of its DNA expert, Lifecodes Corporation (Lifecodes), which
concluded that the DNA print patterns of the bloodstains found on
defendant's jeans matched the DNA print patterns of the
bloodstains on the T-shirt used to cover the victim's body. This
report also concluded that the frequency of occurrence of these
DNA print patterns was approximately one in ten billion among the
North American Black population and approximately one in 4.7
billion among the North American Caucasian population.
The trial court conducted a twenty-eight day "Frye
hearing"See footnote 1 with respect to the admissibility of this DNA
evidence. At the conclusion of the hearing, the court issued an
oral opinion which concluded that "Lifecodes substantially
performed scientifically acceptable tests, thereby obtaining
significantly reliable results within a reasonable degree of
scientific certainty." Although the court noted that there was
some controversy among experts in the field regarding the
calculation of the statistical probability of matching DNA print
patterns, it concluded that this controversy did not require the
exclusion of the State's proffered DNA evidence. In conformity
with this ruling, the State presented evidence at trial of the
match between the DNA print patterns of the bloodstains found on
defendant's jeans and on the T-shirt used to cover the victim and
of the statistical probability of a person other than the victim
being the source of the bloodstains on the jeans.
On appeal, defendant has presented arguments relating both
to the general acceptance within the scientific community of DNA
testing and to the accuracy of Lifecodes' testing of the
bloodstains involved in this case. Before addressing each of
these arguments, it is appropriate to describe briefly the
scientific principles which underlie DNA analysis and the
procedures involved in the method of DNA analysis used in this
case.See footnote 2
Every human cell with a nucleus contains a copy of the DNA
of the individual to whom the cell belongs. DNA is a simple
molecule in the shape of a curved double helix "ladder" composed
of pairs of four nucleotides which pair off in each step of the
DNA molecule ladder. There are approximately three billion such
"base pairings" in the DNA of humans, which are carried on
twenty-three pairs of chromosomes. About 99" of these base
pairings are the same from person to person, accounting for such
shared human characteristics as two legs, a nose and ten digits
on the hands and feet. However, there are some regions within
human DNA that vary greatly among individuals (except for
identical twins who have identical DNA), which are referred to as
"polymorphic" and which provide the basis for DNA identification.
Although the examination of every polymorphic site is not
currently feasible, an examination of a small number of select
sites can establish a DNA profile of a cell sample that can be
compared to the DNA profile of another cell sample.
DNA analysis involves (1) creating DNA profiles of evidence
samples; (2) determining whether profiles match; and (3) if
samples match, determining the statistical significance of the
match.
There are two methods in general use to create DNA profiles
of evidence samples: the polymerase chain reaction (PCR) and
restriction fragment length polymorphism (RFLP) methods.See footnote 3 In
this case, the State's expert, Lifecodes, used the standard
seven-step RFLP method used by most DNA labs. The first six
steps in an RFLP analysis of a cell sample are: (1) extraction
of the DNA molecule from the sample; (2) digestion of the DNA
with an enzyme which cuts it into fragments at selected
polymorphic sites; (3) electrophoresis, which is a process by
which DNA fragments are separated from one another and set in an
agarose gel; (4) Southern transfer or blotting, which is a
process by which the DNA fragments are removed from the agarose
gel and fixed on a nylon membrane in the same pattern as in the
gel; (5) hybridization, which is the application of a numbered
DNA probe to the nylon membrane, which binds with specific DNA
sequences, thereby forming a measurable DNA fragment in a
specific polymorphic region of the DNA; and (6) autoradiography,
which is a process that produces "autorads", or x-ray films, of
the selected DNA fragments, which appear on the film as dark
bands.See footnote 4 Lifecodes developed autorads of five probes of
different polymorphic sites in the DNA of the bloodstain samples
obtained from defendant's jeans and the T-shirt used to cover the
victim.
The seventh step in the RFLP analysis involves the
interpretation of the "autorads" developed in step six to
determine whether the DNA print patterns of each of the probes
match. At Lifecodes the interpretative stage of a DNA analysis
begins with the testing scientist visually examining the bands on
the autorads. If the scientist finds a visual match, that
scientist and another Lifecodes scientist separately "size" the
autorads by use of a computer screen which measures the bands in
comparison with control markers for a particular polymorphic
site. If the scientists' measurements of the bands in the two
samples that are being compared are within 1.8" of each other for
all of the probes, the samples are considered to be "matched."
Once a match is found, the final part of the interpretative
stage is the calculation of the statistical significance of the
match. At Lifecodes, any difference in the sizing done by the
two scientists who have found the match is averaged. This
average is taken as the size of the DNA fragment derived from a
particular probe, which is then compared to the frequency with
which that print pattern occurs in the relevant population.
Lifecodes uses a database generated from DNA samples submitted
for paternity analysis from sources throughout the country,
segregating the results by race, to establish the population
frequency of a particular DNA print pattern. This calculation is
repeated with respect to the autorads developed from each of the
five probes of the matched cell samples. The individual
frequencies are then multiplied together, using what is called
the product rule, to compute an aggregate probability of a random
match.
The premise underlying the use of the product rule to
calculate population frequencies is that the DNA patterns
developed from the separate probes occur independently of each
other in the relevant population.See footnote 5 This is important because
each probe may identify a sequence which is expected in one of a
hundred or one of ten people, but if several different probes
identify sequences which occur independently, the likelihood of
their existing in combination becomes extremely remote.
Applying this analysis, Lifecodes determined that the mean
frequency of occurrence in the Caucasian population of the
matching DNA print patterns developed from the five probes made
from the bloodstains found on defendant's jeans and the T-shirt
used to cover the victim were, respectively, 1 in 1,205, 1 in 40,
1 in 8, 1 in 678, and 1 in 18. The combined frequency of
occurrence of the DNA print patterns of all of these five probes,
using the product rule, would be 1 in 4.7 billion.
The general acceptance within the scientific community of
DNA analysis by use of the RFLP method is clearly shown by
authoritative scientific literature, the overwhelming weight of
judicial authority throughout the country and the testimony of
the experts at the Frye hearing in this case. One leading
scholarly commentary has noted that "[b]y the middle of [1994],
there had been more than 400 scientific papers, 100 scientific
conferences, 3 sets of guidelines from the Technical Working
Group of DNA Analysis Methods ..., 150 court decisions and,
importantly, a 3-year study by a National Research Council ...
committee released in 1992," and concluded based on an analysis
of these materials that it "could identify no remaining problem
that should prevent the full use of DNA evidence in any court."
Eric S. Lander & Bruce Bodowle, "DNA Fingerprinting Dispute Laid
to Rest,"
371 Nature 735 (Oct. 27, 1994). Recently, the
Committee on DNA Technology in Forensic Science of the National
Research CouncilSee footnote 6 issued a report on the use of DNA analysis for
forensic purposes which concludes that "DNA analysis is one of
the greatest technical achievements for criminal investigation
since the discovery of fingerprints," that "[m]ethods of DNA
profiling are firmly grounded in molecular technology," and that
"[w]hen [DNA] profiling is done with appropriate care, the
results are highly reproducible." Committee on DNA Forensic
Science, National Research Council, The Evaluation of Forensic
DNA Evidence 2-14 (prepublication copy, 1996) (hereinafter "1996
NRC report").
The one general topic relating to DNA analysis that has been
the subject of substantial debate within the scientific community
has been the calculation of the statistical significance of
matches of DNA profiles.See footnote 7 This debate is described as follows
in the 1992 NRC report:
[P]opulation frequencies often quoted for DNA
typing analyses are based not on actual
counting, but on theoretical models based on
the principles of population genetics. Each
matching alleleSee footnote 8 is assumed to provide
statistically independent evidence, and the
frequencies of the individual alleles are
multiplied together to calculate a frequency
of the complete DNA pattern. Although a
databank might contain only 500 people,
multiplying the frequencies of enough
separate events might result in an estimated
frequency of their [sic] all occurring in a
given person of 1 in a billion. Of course,
the scientific validity of the multiplication
rule depends on whether the events (i.e., the
matches at each allele) are actually
statistically independent.
. . . .
The validity of the multiplication rule depends on the assumption of absence of population substructure. Population substructure violates the assumption of statistical independence of alleles. In a population that contains groups each with different allele frequencies, the presence of one allele in a person's genotype can alter
the statistical expectation of the other
alleles in the genotype. For example, a
person who has one allele that is common
among Italians is more likely to be of
Italian descent and is thus more likely to
carry additional alleles that are common
among Italians. The true genotype frequency
is thus higher than would be predicted by
applying the multiplication rule using the
average frequency in the entire population.
. . . .
The key question underlying the use of
the multiplication rule -- i.e., whether
actual populations have significant
substructure for the loci used for forensic
typing -- has provoked considerable debate
among population geneticists. Some have
expressed serious concern about the
possibility of significant substructure. They
maintain that census categories -- such as
North American Caucasians, blacks, Hispanics,
Asians, and Native Americans -- are not
homogeneous groups, but rather that each
group is an admixture of subgroups with
somewhat different allele frequencies.
Allele frequencies have not yet been
homogenized, because people tend to mate
within their subgroups.
These populations geneticists also point
out that, for any particular genetic marker,
the actual degree of subpopulation
differentiation cannot be predicted in
advance, but must be determined empirically.
Furthermore, they doubt that the presence of
substructure can be detected by the
application of statistical tests to data from
large mixed populations. Population
differentiation must be assessed through
direct studies of allele frequencies in
ethnic groups.
Other population geneticists, while recognizing the possibility or likelihood of population substructure, conclude that the evidence to date suggests only a minimal effect on estimates of genotype frequencies. Recent empirical studies concerning VNTR loci detected no deviation from independence within or across loci. Moreover, as pointed
out earlier, pairwise comparisons of all
five-locus DNA profiles in the FBI database
showed no exact matches; the closest match
was a single three-locus match among 7.6
million pairwise comparisons. Those studies
are interpreted as indicating that
multiplication of gene frequencies across
loci does not lead to major inaccuracies in
the calculation of genotype frequency -- at
least not for the specific polymorphic loci
examined.
[1992 NRC report at 10-12.]
To reconcile the conflicting views regarding the multiplication rule, more commonly referred to as the product rule, the 1992 NRC report proposed that experts in the field use what is called the "ceiling principle," which assumes the existence of some degree of population substructure and generates more conservative population frequency statistics than the product rule.See footnote 9 However, the NRC has recently concluded that use of the ceiling principle overstates the effect of population substructure in calculating the population frequencies of a combination of matching DNA print patterns and consequently its use for forensic purposes is unnecessary. 1996 NRC report at 5-30 to 5-33. The Committee now recommends the use of a modified
version of the product rule which assumes the existence of some
undetected population substructure of a lesser magnitude than
that reflected by use of the ceiling principle. Id. at O-21.
Most significantly, the 1996 NRC report reaffirms the conclusion
of the 1992 NRC report that properly conducted DNA tests produce
highly reliable results and that DNA analysis is generally
accepted within the scientific community. Id. 2-14.
Although there is no reported appellate decision in New
Jersey dealing with the admissibility in a criminal trial of the
results of DNA analysis conducted by means of the RFLP method,
there is overwhelming authority in other jurisdictions sustaining
the admissibility of such evidence. See, e.g., United States v.
Bonds,
12 F.3d 540 (6th Cir. 1993); United States v. Jakobetz,
955 F.2d 786 (2d Cir.), cert. denied,
506 U.S. 834,
113 S. Ct. 104,
121 L. Ed.2d 63 (1992); Harmon v. State,
908 P.2d 434, 438-42 (Alaska Ct. App. 1995); State v. Johnson, P.2d (Ariz.
1996); People v. Wilds,
37 Cal. Rptr.2d 351 (Cal. Ct. App.),
review granted,
890 P.2d 1115 (Cal. 1995); People v. Soto,
35 Cal. Rptr.2d 846 (Cal. Ct. App. 1994), review granted,
890 P.2d 1115 (Cal. 1995); Lindsey v. People,
892 P.2d 281 (Colo. 1995);
Fishback v. People,
851 P.2d 884 (Colo. 1993); State v. Sivri,
646 A.2d 169 (Conn. 1994); People v. Miller, ___ N.E.2d ___ (Ill.
1996); Armstead v. State,
673 A.2d 221 (Md. 1996); Commonwealth
v. Lanigan, 641 N.E.2d 1342, 1346-50 (Mass. 1994); People v.
Chandler,
536 N.W.2d 799, 801-03 (Mich. Ct. App. 1995), appeal
denied, N.W.2d (Mich. 1996); State v. Weeks, 891 P.2d
477, 486-91 (Mont. 1995); State v. Anderson,
881 P.2d 29 (N.M.
1994); People v. Wesley,
633 N.E.2d 451 (N.Y. 1994); State v.
Pierce,
597 N.E.2d 107 (Ohio 1992); State v. Morel,
676 A.2d 1347, 1350-56 (R.I. 1996); State v. Copeland, P.2d (Wash.
1996); State v. Peters,
534 N.W.2d 867, 872-73 (Wis. Ct. App.),
review denied,
537 N.W.2d 572 (Wis. 1995). In fact, the only
significant area of dispute regarding the admissibility of such
evidence -- reflecting the recent debate within the scientific
community -- has been whether experts should be allowed to
express opinions as to the statistical significance of matches of
DNA print patterns by applying the product rule or whether they
should instead be required to use the ceiling principle. See
State v. Bloom,
516 N.W.2d 159 (Minn. 1994) (recognizing that DNA
testing is generally accepted in scientific community and that
such evidence is thus admissible, but conditioning admissibility
on testimony as to frequency of match between defendant's genetic
profile and genetic profile of crime scene evidence being limited
to use of the "ceiling principle" calculation); State v.
Vandebogart,
652 A.2d 671, 675-80 (N.H. 1992) (same); State v.
Streich,
658 A.2d 38, 43-50 (Vt. 1995) (same).
In United States v. Jakobetz, supra, the court noted that
"the general theories of genetics which support DNA profiling are
unanimously accepted within the scientific community" and
concluded that "a court could properly take judicial notice of
the general acceptability of the general theory." 735 F.
2d at
799. The court also rejected a number of objections to the
particular DNA analysis of the government's expert in that case,
including a claim that the expert assumed without any scientific
support that "there was no evidence of substructure or subgroups
within the Caucasian population" in using the product rule to
calculate the statistical probability of a person other than the
defendant having the same DNA profile as found in the semen
sample taken from the victim. Ibid.
In United States v. Bonds, supra, the court rejected the
defendant's argument that scientific controversy regarding the
statistical significance of matching DNA print patterns rendered
DNA test results inadmissible, stating that:
In some instances, there may be several
different theories or procedures used
concerning one type of scientific evidence,
all of which are generally accepted. None
may have the backing of the majority of
scientists, yet the theory or procedure can
still be generally accepted. And even
substantial criticism as to one theory or
procedure will not be enough to find that the
theory/procedure is not generally accepted.
Only when a theory or procedure does not have
the acceptance of most of the pertinent
scientific community, and in fact a
substantial part of the scientific community
disfavors the principle or procedure, will it
not be generally accepted.
[12 F.
3d at 562.]
Consequently, the court held that any question as to the
statistical significance of the match between the DNA profile of
defendant's blood and the bloodstain found in the victim's car
went to the weight rather than the admissibility of the
government's DNA evidence:
Because the DNA results were based on
scientifically valid principles and derived
from scientifically valid procedures, it is
not dispositive that there are scientists who
vigorously argue that the probability
estimates are not accurate or reliable
because of the possibility of ethnic
substructure. The potential of ethnic
substructure does not mean that the theory
and procedures used by the FBI are not
generally accepted; it means only that there
is a dispute over whether the results are as
accurate as they might be and what, if any,
weight the jury should give those results.
[Id. at 564-65.]
Consistent with the scientific literature in the field and the decisions in other jurisdictions, the State presented compelling testimony by knowledgeable experts that DNA testing by the RFLP method is generally accepted and is sufficiently reliable to warrant its admission in criminal cases. Drs. Michael Baird and Martin Tracey, experts in the fields of both molecular biology and genetics, Dr. Henry Lee, a molecular biologist and biochemist, and Dr. Bernard Devlin, an expert in population genetics, all testified in considerable detail regarding the procedures used in this method of DNA testing as well as its general acceptance within the scientific community for providing reliable identifications of the sources of blood and other human cells. Defendant's experts did not dispute the general acceptance within the scientific community of the RFLP method of DNA testing. Rather, these experts' challenges to Lifecodes' test results were limited to Lifecodes' calculations of the frequency with which the matching DNA profiles occur in the population and the reliability of Lifecodes' analysis of the
specific evidence samples involved in this case. Therefore, we
consider each of these areas of conflicting expert testimony to
determine whether the trial court properly admitted the DNA
evidence of a match between the bloodstains found on defendant's
jeans and on the T-shirt placed on the victim's body.
At the Frye hearing, the State's experts, using the product
rule, calculated that the frequency of occurrence in the
Caucasian population of the DNA profile of the bloodstains found
on defendant's jeans and on the T-shirt is 1 in 4.7 billion.
However, defendant's experts raised substantially the same
questions about the product rule that had resulted in the
recommendation of the 1992 NRC report that the "ceiling
principle" be used to calculate population frequency statistics
for forensic purposes; that is, the alleged lack of validation of
the product rule's assumption that each matching DNA print
pattern provides statistically independent evidence. Applying
the "ceiling principle," one of defendant's experts, Dr. William
M. Shields, a zoologist and population geneticist, testified
that, using Lifecodes' test results, the likelihood of a person's
DNA profile matching the DNA sample derived from the jeans taken
from defendant's bedroom would be one in 3.4 million rather than
the one in 4.7 billion figure calculated by use of the product
rule. Dr. Shields also testified that if the results of one of
Lifecodes' probes were excluded from consideration as unreliable,
as Dr. Shields contended should be done, the frequency of
occurrence of the DNA profile of the bloodstains found on
defendant's jeans, using the ceiling principle, would be one in
6,899. Another of defendant's experts, Dr. Seymour Geisser, a
mathematician, testified that in the absence of better evidence
of the statistical independence of the DNA print patterns
developed from separate probes, it was inappropriate to combine
the statistical probability of a random match of DNA print
patterns even by use of the ceiling principle.See footnote 10 Disregarding
the results of two probes which another of defendant's experts,
Dr. Peter D'Eustachio, concluded were unreliable, Dr. Geisser's
analysis would lead to the conclusion that the frequency of
occurrence of the least common of the DNA print patterns produced
by the remaining three probes, which was one in 678, would be the
only reliable population frequency statistic to use in
determining the statistical significance of the matching DNA
print patterns derived from the bloodstains found on defendant's
jeans and on the T-shirt.
Consequently, the issue is whether the trial court was
compelled to exclude all evidence of the DNA test results simply
because experts in the field, including the experts who testified
at the Frye hearing, disagree about the scientific reliability of
the product rule in calculating the probability of a random match
of DNA print patterns. Initially, we note, as previously
discussed, that the NRC has recently reaffirmed the
appropriateness of using a variation of the product rule in
calculating the statistical significance of matching DNA
profiles. Therefore, it is even clearer now than at the time of
the Frye hearing that the use of the product rule in DNA analysis
is generally accepted in the scientific community.
In any event, any continuing debate among experts in the
field of population genetics regarding the calculation of
population frequencies of matching DNA print patterns does not
affect the general acceptance of DNA analysis within the
scientific community and thus should not result in the exclusion
of such evidence in criminal trials. There is an overwhelming
consensus of opinion among experts in the field that properly
conducted DNA tests using the RFLP method produce highly reliable
results. Consequently, the introduction of these results into
evidence at a criminal trial would clearly aid the jury in
performing its fact-finding responsibilities. The mere existence
of a genuine dispute as to whether the probability of a random
match of DNA samples is 1 in 4.7 billion, 1 in 3.4 million, or
even some lesser number, should not prevent the trier of fact
from hearing evidence which has a high degree of reliability.
For scientific evidence to be admissible, we only require that
the scientific technique or procedure be accepted as
scientifically reliable, not that it produce results which are
beyond all legitimate debate. In fact, it is commonplace in our
courtrooms for juries to hear conflicting expert opinions
regarding the precise significance of scientific tests. We
conclude that it is appropriate to follow the same approach with
respect to the jury's consideration of evidence of DNA testing,
including the calculation of population frequencies.
Thus, if DNA tests using the RFLP method have been properly
conducted, evidence of the results of those tests should be
admitted. The State also may present evidence of population
frequencies calculated by use of the product rule, the ceiling
principle or any other method that has a legitimate scientific
basis. The defendant remains free to present conflicting expert
opinion testimony regarding population frequency calculations. A
point ultimately may be reached where there is such widespread
agreement among experts in the field regarding the proper method
of calculating population frequencies that only statistics
generated by that methodology should be presented to the jury.
However, until such a scientific consensus is established, this
remains a legitimate subject for expert testimony at trial. See
State v. Spain,
130 N.J. 484, 519-20 (1993); see also State v.
Harvey,
121 N.J. 407, 430-431 (1990), cert. denied,
499 U.S. 931,
111 S. Ct. 1336,
113 L. Ed.2d 268 (1991); State v. King,
215 N.J. Super. 504, 518-20 (App. Div. 1987). We add that this is
the approach to the admission of evidence of DNA test results
which has been taken in many other jurisdictions. See, e.g.,
United States v. Bonds, supra, 12 F.
3d at 564-65; People v. Soto,
supra, 35 Cal. Rptr. at 857-58; State v. Morell, supra, 876 A.
2d
at 1356; People v. Wesley, supra, 633 N.E.
2d at 457.
We also note that even though the trial court's ruling at
the conclusion of the Frye hearing permitted the State's experts
to use the product rule in calculating the statistical
significance of the match between the DNA print patterns of the
bloodstain on defendant's jeans and the T-shirt used to cover the
victim, the State elected at trial to present this part of its
case by use of the more conservative statistical probabilities
derived from the ceiling principle. Consequently, the State's
experts testified in direct examination that the probability of a
random match of the DNA profiles of the bloodstains found on the
defendant's jeans and his T-shirt used to cover the victim was
only 1 in 3.5 million. It was only on defendant's cross-examination of the State's experts that the 1 in 4.7 billion
probability of a random match, derived from use of the product
rule, was placed before the jury. Therefore, even if New Jersey
were to adopt the approach of those jurisdictions which have held
that evidence of a DNA analysis using the RFLP method is
admissible only if the statistical probability of a random match
is calculated by use of the ceiling principle, see, e.g., State
v. Bloom, supra,
516 N.W.2d 159; State v. Vandebogart, supra,
652 A.2d 671, the DNA evidence proffered by the State would have been
properly admitted.
Furthermore, defendant was afforded a full opportunity to
contest the State's evidence regarding the statistical
significance of the match between the DNA profiles of the
bloodstains taken from the defendant's jeans and the T-shirt used
to cover the victim. Defendant presented testimony by Dr.
Geisser similar to the testimony he gave at the Frye hearing,
questioning the reliability of even the conservative ceiling
principle methodology of calculating the probability of a match
between DNA profiles. Dr. Shields also gave testimony similar to
what he had given at the Frye hearing, that the results of one of
Lifecodes' probes was unreliable and that, excluding the results
of that probe and using the ceiling principle, there was a 1 in
6,899 chance of a random match between the DNA profiles of the
bloodstains found on the jeans and the T-shirt. Thus, the jury
heard substantially the same testimony as had been presented at
the Frye hearing regarding the statistical significance of the
match between the DNA evidence samples. Therefore, we conclude
that the trial court properly admitted evidence of the population
frequency of a match between the DNA profiles of the evidence
samples involved in this case.
We turn next to defendant's challenge to the specific
testing that Lifecodes conducted on those evidence samples.
Defendant argues that the presence of "extra bands" on the
autorads developed from two of the probes of the bloodstains
taken from the jeans, which did not match any bands on the
autorads developed from the same probes of the bloodstains found
on the T-shirt, prevented an accurate DNA analysis. This
argument rests on the testimony of Dr. D'Eustachio, who expressed
the opinion that there was no data from which a reliable
conclusion could be reached as to the source of the extra bands.
Consequently, according to Dr. D'Eustachio, the explanation for
these extra bands could be that the bloodstains on the jeans came
from more than one person.
However, the State's experts attributed the extra bands to a
phenomenon known as "partial digestion," which is the failure of
the enzyme used in the DNA testing to completely cut the DNA into
fragments at the selected polymorphic sites. The State's experts
also testified that the presence of extra bands on autorads is
not uncommon, and that a person who is trained in reading
autorads can distinguish, on the basis of the band's intensity
and location, between those that reflect a person's DNA at a
particular site and those that result from partial digestion.
The State's experts further testified that the reading of
autorads containing apparent extra bands to determine which bands
reflect the DNA of the cell at a particular polymorphic site and
the cause of the extra bands is a generally accepted aspect of
the field of DNA analysis. Although the trial court did not make
detailed findings of fact, it clearly accepted the opinion of the
State's experts that the presence of extra bands on the autorads
did not prevent an accurate match of the DNA on the jeans and the
T-shirt. Since this implicit factual finding is reasonably based
on sufficient credible evidence presented at the Frye hearing, it
may not be disturbed on appeal. State v. Johnson,
42 N.J. 146,
162 (1964).
Although the presence of extra bands on the autorads
developed from the bloodstains on the jeans complicated the DNA
analysis in this case, courts do not exclude evidence of
scientific tests simply because the results may be difficult to
analyze or because there are conflicting expert opinions as to
the conclusions that may be drawn from those tests. It is
common, for example, for experts to dispute the clarity and
significance of x-rays and sonograms. A trial court does not
undertake to resolve such a dispute in determining the
admissibility of the evidence but instead admits the evidence and
instructs the jury that it must determine the persuasiveness of
the experts' opinions as part of its fact-finding
responsibilities. We are satisfied that the trial court properly
concluded that the ability of an expert to interpret the extra
bands on an autorad, like an expert's ability to perceive an
abnormality on an x-ray, is a matter within the province of the
jury. See United States v. Jakobetz, supra, 955 F.
2d at 799-800
("[T]he threshold for admissibility should require only a
preliminary showing of reliability of the particular data to be
offered.").
We add that defendant was afforded a full opportunity to
present evidence to the jury regarding the significance of the
extra bands. Dr. D'Eustachio expressed the opinion at trial, as
he had in the Frye hearing, that the Lifecodes DNA analysis
failed to show a match between the print patterns of the
bloodstains taken from defendant's jeans and the T-shirt because
of the presence of extra bands.
In sum, the general acceptance within the scientific
community of DNA analysis of human cells by use of the RFLP
method is clearly established by authoritative scientific
literature, the overwhelming weight of judicial authority
throughout the country, and the testimony of the experts at the
Frye hearing in this case. The only substantial debate within
the scientific community regarding this method of DNA analysis
relates to the calculation of the statistical significance of
matches of DNA profiles. However, any dispute regarding the
statistical significance of matching DNA profiles does not affect
the general acceptance of DNA analysis within the scientific
community and consequently should not result in the exclusion of
such evidence in criminal trials. We also conclude that the
State made a sufficient showing of the scientific reliability of
Lifecodes' procedures and the results of its tests upon the
bloodstain evidence involved in this case to justify the
admission of those results.
of this case nor is it contemplated or even -- it's just not part of the case. It cannot
be applied.
That answers your question. That's it.
Thank you. Return to your deliberations.
Although defendant did not object to this response at trial,
he now argues that it was plain error for the court to answer
this question because it sought information outside the jury's
province. However, a trial court cannot decline to respond to a
jury question merely because it relates to a matter that is
irrelevant to a decision in the case. The court has a
responsibility to guide the jury, which includes responding to
any questions it may ask during deliberations. State v. Parsons,
270 N.J. Super. 213, 221 (App. Div. 1994). If the jury inquires
about an irrelevant matter, it may be appropriate in some
circumstances for the court simply to inform the jury that the
matter is irrelevant and that the court cannot provide an answer
to the question. In other circumstances, however, this form of
response may encourage jury speculation about an irrelevant
subject that could improperly influence its deliberations.
Therefore, it may be more appropriate in those circumstances for
the court to answer the question but then to direct the jury "to
exclude the subject from consideration." State v. Bey,
129 N.J. 557, 602 (1992) (quoting State v. White,
27 N.J. 158, 179
(1958)); see also State v. Engel,
249 N.J. Super. 336, 383 (App.
Div.), certif. denied,
130 N.J. 393 (1991).
We are satisfied that the court's response to the jury's
question was appropriate. Given the gruesome nature of the
crime, the fact that the case took nearly three months to try,
the complexity of much of the testimony, and the number of
experts who testified, it is not surprising that the jury
wondered whether the death penalty was involved. The court
simply provided the jury with a direct and accurate response to
this question. We see no basis for concluding that the jury's
verdict was improperly influenced by its knowledge that the death
penalty could not be imposed upon defendant.
Ed.2d 101, 117 (1972)). Any delay caused by the defendant, such
as by filing pretrial motions, is not considered in calculating
the length of delay for speedy trial purposes. State v.
Gallegan,
117 N.J. 345, 355 (1989).
As previously noted, defendant never asserted his right to a
speedy trial. Furthermore, his claims of prejudice as a result
of delay in commencement of the trial are completely speculative.
Most significantly, even though the delay was substantial,
defendant's efforts to obtain experts to counter the State's
evidence regarding the DNA match between the bloodstains found on
the T-shirt used to cover the victim and on defendant's jeans was
the primary cause of that delay. The State provided defendant
with the results of its DNA testing on November 12, 1990, which
was ten and a half months after his arrest. Although defendant
moved shortly thereafter for an order providing for the
appointment of defense DNA experts, it took more than a year to
resolve issues relating to their appointment, particularly the
funding of their
work, and it took several additional months for these experts to
prepare their reports. The presentation of evidence at the
hearing dealing with the admissibility of this evidence then
consumed twenty-eight days over a period of four and a half
months. The trial court issued its opinion allowing the
admission of this evidence one-and-a-half months later, and the
trial commenced only a few weeks later. Consequently, the
primary reasons for the delay in the commencement of defendant's
trial were the complex issues relating to the admissibility of
DNA evidence and defendant's protracted efforts to obtain his own
DNA experts. In view of these legitimate and substantial reasons
for the delay in defendant's trial, it is clear that his right to
a speedy trial was not violated. See Commonwealth v. Lanigan,
supra, 641 N.E.
2d at 1345-46 (no speedy trial violation where a
large part of the fifty-three month delay between arraignment and
trial resulted from challenges to admission of DNA evidence and
defendant could show no prejudice).
Affirmed.
Footnote: 1 Frye v. United States, 293 F. 1013 (D.C. Cir. 1923). Footnote: 2 This description is derived from the testimony at the Frye hearing and from two reports of special committees of the National Research Council (NRC) discussed later in this opinion. Footnote: 3 The RFLP method, which was first introduced in 1975, has been utilized for medical research since 1978 and for forensic identification since 1985. The only reported decision in this State dealing with the admissibility of DNA test results in a criminal case involved the use of the PCR method. State v. Williams, 252 N.J. Super. 369, 379-83 (Law Div. 1991). Footnote: 4 For a more complete description of this method, including a helpful diagram, see Committee on DNA Technology in Forensic Science, National Research Council, DNA Technology in Forensic Science 3-5 (1992) (hereinafter "1992 NRC report"). Footnote: 5 The existence of such independence is commonly referred to as Hardy-Weinberg equilibrium. See 1992 NRC report at 169. Footnote: 6 The NRC is a private, non-profit society of distinguished scholars which the National Academy of Sciences organized in 1916 at the request of the President and which is now administered by the National Academy of Sciences, the National Academy of Engineering and the Institute of Medicine.
See Ex. Ord. No. 2859, as amended by Ex. Ords. No. 10668 & 12832,
reprinted in 1995 pocket part to
36 U.S.C.A.
§253 at 24-25. The
NRC formed the Committee on DNA Technology in Forensic Science to
study the use of DNA analysis for forensic purposes, which
resulted in the issuance of the 1992 NRC report. Subsequently,
at the request of the Director of the FBI, the NRC formed a new
committee, called the Committee on DNA Forensic Science, to study
recent developments in the field, which resulted in the issuance
of the 1996 NRC report. See Preface to the 1996 NRC report.
Footnote: 7 There are a variety of other issues that may arise in
connection with the DNA analysis of particular evidence samples,
including the competency of the persons doing the testing and
analysis, contamination or degradation of the evidence samples,
the criteria for determining a match between the DNA print
patterns of evidence samples, and the adequacy of the data base
used to calculate the statistical significance of matching DNA
profiles. See 1992 NRC report at 56-63. However, these issues
all relate to the reliability of the DNA testing of specific
evidence samples rather than the general acceptance within the
scientific community of DNA analysis using the RFLP method. The
only such issue raised on this appeal relates to the presence of
"extra bands" on two of Lifecodes' probes of the bloodstains
found on defendant's jeans, which is discussed on pp. 27-29 of
this opinion.
Footnote: 8 An "allele" is a fragment of DNA at a polymorphic site.
Footnote: 9 This report described the calculation of the
statistical frequency of a matching DNA profile under the ceiling
principle, as follows:
(1) Draw random samples of 100 persons from
each of 15-20 populations that represent
groups relatively homogeneous genetically.
(2) Take as the ceiling frequency the largest
frequency in any of those populations or 5%,
whichever is larger.
[1992 NRC report at 13.] Footnote: 10 We note that although there has been debate among experts in the field as to whether the ceiling principle, the product rule or a modified version of the product rule should be used in calculating the statistical significance of a match of DNA profiles, there seems to be limited, if any, support for Dr. Geisser's view that the probability of random matches of separate DNA print patterns should not be combined at all in determining the statistical significance of the match.