Transcript Teaching an Audience of One: The Judicial

Teaching an Audience of One:
The Judicial Reception of
Statistical Evidence
Mary W. Gray
American University, Washington DC
[email protected]
For the rational study of the law
the black letter man may be the
man of the present, but the man
of the future is the man [woman]
of statistics and the master of
economics.
Oliver Wendell Holmes
The Path of the Law (1897)
Landmark cases

Yick Wo v. Hopkins, 118 U.S. 356 (1886)

Baker v. Carr, 369 U.S. 186 (1962)

Griggs v. Duke Power Company, 401 U.S. 424 (1971)

Castenada v. Partida, 430 U.S. 482 (1977)

Hazelwood School District v. United States, 433 U.S.
299 (1977)

O.J. Simpson trial (1995)
The role of the statistician

To present the evidence clearly and
ethically

To prepare the litigator
Cautions for the statistician

Legal proceedings are adversarial

Expert testimony cannot reach legal
conclusions

Early involvement is essential

Responsibility

Accountability

Guard your reputation

Avoid advocacy

Resist unrealistic expectations
The tasks of the statistician

Be certain that you know what
questions must be answered

Get the data

Clean the data

Grapple with the data

Consider the strategy of the opposition
Communication

Statisticians should attempt to promote and
preserve the confidence of the public without
exaggerating the accuracy or explanatory power of
their data.

Statisticians should provide adequate information to
permit their methods, procedures, techniques, and
findings to be assessed.

Statisticians should not promise more than they can
deliver.

Statisticians should address rather than minimize
uncertainty.
Recognition of ethical concerns
Recent headlines:
“Vioxx Kept Trial Going in Spite of Concern”
“Heart Deaths Concealed?”
“US Scientists Say They are Told to Alter Findings”
“FDA Employee Seeks Help from Whistle-Blowers Group”
“CDC Study Overstated Obesity as a Cause of Death”
“EPA Inspector Finds Mercury Proposal Biased”
“Abuses Endangered Veterans in Cancer Drug Experiments”
“Alarm over Single AIDS Case Is Challenged by Questioners”
Missteps

People v. Collins (1968)
Probability
Partly yellow automobile
Man with mustache
Woman with ponytail
Blond woman
Black man with beard
Interracial couple in a car
1/10
1/4
1/10
1/3
1/10
1/1000
Probability:
(1/10)x(1/4)x(1/10)x(1/3)x(1/10)x(1x1000)
= 1/12,000,000
People v. Collins
p(more than one given at least one) =
p(more than one)/p(at least one)
p(more than one) = 1 – p(0) – p(1)
= 1 – 1/e – 1/e
= .26
p(at least one)
= 1 – p(0)
= 1 – 1/e
= .63
p(more than one given at least one) = .26/.63 = .43
Hardly “beyond a reasonable doubt”!

Maryland v. Wilson (2002)
Are SID deaths in the same family independent?
During rebuttal closing argument, the State's Attorney referred to the
statistics that the experts relied on in forming their opinion that
Garrett's death was criminal homicide, and argued the probability of
petitioner's innocence.
The State's Attorney did not merely argue that there was a low
probability that two SIDS deaths would occur in one family; he argued
that there was a low probability that petitioner was innocent.
He told the jury, "if you multiply his numbers, instead of 1 in 4 million,
you get 1 in 10 million that the man sitting here is innocent. That was
what a doctor, their expert, told you."
Defense counsel's motion for a mistrial was denied and, instead, the
court gave a curative instruction.
Results of Wilson and other SIDS cases


Wilson’s conviction overturned by Maryland’s
highest court
Misuse of statistics in British cases led to review of
250 convictions of murder in possible SID (“cot
death”) cases

Gonzales v. Carhart and Gonzales v. Planned
Parenthood
Appeal from 8th and 9th Circuit cases involving “partial birth
abortions” in which testimony regarding the Chasen study
was cited (used also in a Nebraska case)
Stephen T. Chasen (2004), Dilation and evacuation at ≥ 20 weeks:
Comparison of operative techniques, American Journal of
Obstetrics and Gynecology, 190, 1180.
Null hypothesis: two different procedures led to the same
rate of subsequent premature births
p = 0.30
Testimony of government’s expert Dr. Clark: 30% is just
“stretching it a little bit” from 5% and
“There is a 30 percent chance this occurred by chance and
a 70 percent chance that it in fact is a true, meaningful,
increased risk.”
But how can it be more?
Salary differences increase with time
 But how can that be if raises are always
straight percentages?
 A woman is hired for $40,000
A man is hired for $50,000
 The woman gets $10,000 less than the man
 Each gets a 10% raise
 Now the difference is more than 10%!

U.S. Federal Evidence Rule 702:
If scientific, technical or other specialized knowledge will assist
the trier of fact to understand the evidence or to determine a fact
in issue, a witness qualified as an expert by knowledge, skill,
experience, training or education, may testify thereto in the form
of an opinion or otherwise, if
(1) the testimony is based upon sufficient facts or data,
(2) the testimony is the product of reliable principles and methods,
and
(3) the witness has applied the principles and methods reliably to
the facts of the case.
U.S. Federal evidentiary standards:




“Commercial Marketplace Test” early 1900’s
Frye v. United States (1923)
generally accepted, e.g., peer-reviewed
Daubert v. Merrell Dow Pharmaceuticals (1993)
Judge must evaluate the methodology according to the following:
testing and validation
peer review
existence and maintenance of standards
controlling the use of the technique
rate of error
“general acceptance”
Effectiveness of the Daubert rule
Joiner v. General Electric (1997) and Kuhmo v. Charmichael (1999)
further clarification of role of the judge and who is an expert
How have statistics been used in legal
settings?
discrimination (race, sex, age)
pipeline regulation
police profiling
assaults on prisoners
SID
human rights violations
service interruption
lotteries
drug trials
evidence-based medicine
environment
clinical trials
glass fragments
anti-trust
epidemiology
driving offenses
redistricting
DNA
death penalty
sales figures
intellectual property
sentencing
recidivism
bullet composition
product liability
earprints
What is discrimination?
Disparate treatment—similarly situated
individuals are treated differently on the
basis of race, sex, etc.
Disparate impact—a facially neutral
criterion or process has a disparate
impact on members of one sex, race, etc.
How “disparate” must an impact be?
Inexorable zero
Difference in percentages
4/5’s rule
Selection ratio
Odds ratio
Statistical significance
2 or 3 standard deviations
No “bright line”
% minorities %minorities probability
in pool
on jury panels
1 x 10-8
Swain v.
Alabama
26%
16%
Avery v.
Georgia
5%
0%
4.6 x 10-2
Castaneda v.
Partida
79%
39%
1 x 10-140
Cassell v. Texas
Juries with no
African Americans
Juries with one
African American
Juries with more than
one African American
expected
number
9.14
observed
number
4
7.87
17
3.99
0
Χ2 = Σ (expected – observed)2/expected = 17.47
p < 0.001
Title IX of the Education Act of 1972
requires in collegiate athletics that



Opportunities be provided to men and women in
numbers substantially proportionate to their
respective enrollments
or
History and continuing policies of program
expansion be demonstrated
or
Interests and abilities of underrepresented sex
be effectively accommodated
What does “substantially proportionate”
mean?
Cohen v. Brown University
Percentage women among students: 51%
Percentage women among athletes:
39%
Cohen v. Brown University

Difference?
51%-39% = 12%

Ratio?
39%/51% = .76

Pass rates?
12%/20% = .60

Statistically significant? p < .001
Methodology
Descriptive statistics
t-tests
Non-parametric test
Matched pairs
Lorenz curve
Meta-analysis
Regression
Power
Sensitivity
Mantel-Hanszel
Change point analysis
Urn models
Lorenz curve
Gini index of inequality
Capture-recapture
Multiple systems estimation
Bayesian methods
Sampling
Acceptance of techniques

Probability
Note the jury selection, discrimination cases
But, there are still gaps in understanding the interpretation of “p,”
and the meaning of “reject the null hypothesis”

Regression
Widely used in discrimination, anti-trust, etc.
Are assumptions met?

Bayesian techniques
First proposed around 1970
M.O. Finkelstein and W. B. Fairley, (1970), A Bayesian approach to
identification evidence, Harvard Law Review, 83, 489.
Still not generally accepted
D.J. Balding (1998), Court condemns Bayes, Royal Statistical Society,
25, 1-2.
But statisticians keep trying
A.P. Dawid, Julia Mortera, and Paola Vicard (2005), Building blocks
for DNA identification from Bayesian networks, 6th International
Conference on Forensic Statistics.
Roderick J. Little (2006), Calibrated Bayes: A Bayes/Frequentist
Roadmap, The American Statistician, 60, 213-223.
Sampling
Courts have always had problems with sampling
Is it a sample or is it the population?
The Census
Can estimates based on sampling be used in drug cases where
quantity determines the sentence?
United States v. Shonubi, 103 F. 3d 1085 (2d Circuit
1997)
Alan J. Izenman (2003), Sentencing illicit drug traffickers:
How do the courts handle random sampling issues?
International Statistical Review, 71, 535-556.
Can damages be based on sampling?
Copyright violations
Robert L. Basmann and Daniel J. Slottje (2003),
Copyright damages and statistics, International
Statistical Review, 71, 557-564.
Damages
L. Walker and J. Monahan (1998), Sampling
damages, Iowa Law Review, 545-568.
Where next?
Challenging orthodoxy


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
Fingerprints
David H. Kaye, Questioning a courtroom proof of the
uniqueness of fingerprints (2003), International
Statistical Review, 71, 521-533.
Bullet composition
Committee on Scientific Assessment of Bullet Lead
Elemental Composition Comparison, National Research
Council (2004), Forensic Analysis: Weighing Bullet Lead
Evidence. Washington DC: National Academy of Science.
DNA
L.A. Foreman, C. Champod, I.W. Evett, J.A. Lambert and
S. Pope (2003), Interpreting DNA Evidence: A Review, 71,
473-495.
Lie detector evidence
New techniques

Suzanne Bell and Jennifer Wiseman (2005), Data fusion,
data mining and pattern recognition applied to fiber
analysis, 6th International Conference on Forensic Statistics.

Kathy Barnes (2005), A Bayesian model to control for
selection bias, with an application to racial profiling,
6th International Conference on Forensic Statistics.

Rose M. Ray and Jeffrey S. Goldman (2005),
Demonstration of minority disadvantage when minority
populations are small, 6th International Conference on
Forensic Statistics.

James M. Curran (2003), The statistical interpretation of
forensic glass evidence, International Statistical Review, 71,
497-520.

Death penalty
McCleskey v. Kemp, 481 U.S. 279 (1987)
Callins v. Collins, 510 U.S. 114 (1994)
Justice Blackmun: From this day forward, I no longer shall tinker with
the machinery of death. …
Rather than continue to coddle the Court's delusion that the desired level
of fairness has been achieved and the need for regulation eviscerated, I feel
morally and intellectually obligated simply to concede that the death penalty
experiment has failed.
It is virtually self-evident to me now that no combination of procedural
rules or substantive regulations ever can save the death penalty from its
inherent constitutional deficiencies.
The basic question -- does the system accurately and consistently
determine which defendants "deserve" to die? -- cannot be answered in the
affirmative. …
The problem is that the inevitability of factual, legal, and moral error
gives us a system that we know must wrongly kill some defendants, a system
that fails to deliver the fair, consistent, and reliable sentences of death
required by the Constitution.
J.S. Liebman, et al (2000). A Broken System: Error Rates in Capital
Cases. New York: Columbia School of Law.
Michael O. Finkelstein and Bruce Levin (2005). The Machinery of Death,
Chance, 18, 34-37.
New areas

Brian Werner (March/April 2005), Distribution, abundance and
reproductive biology of captive Panthera Tigris populations
living within the United States of America, Feline Conservation
Federation Magazine 49 no. 2.

Efstathia Bura, Joseph L. Gastwirth, and Reza Modarres (2005),
Statistical Methods for Assessing the Fairness of the Allocation
of Shares in Initial Public Offerings, Law, Probability and Risk,
4, 143-158.

Human rights
Estate of Marcos Human Rights Litigation, 910 F. Supp. 1460
(D. Haw. 1995) (aff'd in Hilao v. Estate of Marcos, 103 F.3d
767 (9th Cir. 1996)).
Patrick Ball and Jana Asher (2002), Statistics and Slobodan:
Using data analysis and statistics in the War Crimes Trial of
former president Milosevic, Chance, 15, 17-24.
Robin Mejia (2006), Grim Statistics, Science, 313, 288-290.
References
DeGroot, M., Fienberg, S. and Kadane, J.B. (1986). Statistics and the Law,
New York: Wiley.
Faigman, D.L., Fienberg, S.E. and Stern, A.C. (2003) Issues in Science and
Technology online.
Fienberg, S. and Kadane, J.B. (1983). The presentation of Bayesian
statistical analyses in legal proceedings. The Statistician, 32, 88-108.
Fienberg, S. (ed.). (1989). The Evolving Role of Statistical Assessments in
the Courts. New York: Springer.
Fienberg, S.E., Krislov, S.H. and Straf, M.L. (1995). Understanding and
evaluating statistical evidence in litigation. Jurimetr. J., 36, 1-32.
Finkelstein, M. O. and Levin, B. (2001). Statistics for Lawyers,
2nd edition. New York: Springer-Verlag.
Gastwirth, J.L. (1988). Statistical Reasoning in Law and Public Policy,
vols. I and II, San Diego: Academic Press.
Gastwirth, J.L. (1997). Statistical evidence in discrimination cases. J.
Royal Statistical Society, Series A, 160, 289-303.
References (continued)
Gastwirth, J. L. (ed.). (2000). Statistical Science in the Courtroom,
Springer-Verlag, New York.
Gray, M. W. (1993). Can statistics tell us what we do not want to hear?
The case of complex salary structures. Statistical Sciences, 8, 144179.
Gray, M. W. (1996). The concept of “substantial proportionality” in Title
IX athletics cases. Duke Journal of Gender and Social Policy, 3, 165188.
Jasanoff, S. (1998). The age of everyman: Witnessing DNA in the
Simpson trial, Social Studies of Science, 28, 713-740.
Kadane, J.B. (2005). Ethical issues in being an expert witness, Law,
Probability & Risk, 4, 21-23.
Kave, David H. and Freedman, David A., Reference guide for statistics, in
Reference Manual on Scientific Evidence, Federal Judicial Center,
Washington 2000.