Court reporter's evidence note · As of 2 October 2000

Do not publish a probability of guilt

The figure of 1 in 73 million does not measure the chance that the appellant is innocent. The record of the first appeal gives no measured chance of a second SIDS death after a first and no rate of two maternal homicides, so it cannot set the odds of one explanation against the other.

Call as of 2 October 2000: no numeric guilt probability.

What can be reported: the arithmetic behind the figure, the assumptions it rests on, and what the Court of Appeal said about it. The court accepted that, looking back at whether two deaths were natural or unnatural, the figure is "no help" (para 162), and it dismissed the appeal against conviction on each count (para 258).

Next action: run the figure only with its denominator and its independence assumption stated, attribute it to trial testimony, and pair it with the court's para 162 conclusion. Revise only on the evidence listed under "What would change this call".

What the court held, and whose words are whose

Three kinds of statement appear in the record and they carry different weight. A witness's testimony and an appellant's argument are reported by the court; only the court's own conclusions are holdings.

Court's conclusion on the figure

Therefore we accept that when one is looking ex post at whether two deaths were natural or unnatural, the 1:73 million figure is no help. It is merely a distraction.

Para 162, Court of Appeal. Judgment of 2 October 2000. Speaker: Court of Appeal. Read para 162 in the judgment
Appellant's argument, as quoted by the court

The fresh evidence of Dr Evett and Professor Dawid demonstrates that the prosecution invited the jury to adopt the figure of 73 million as having a significance in itself when in truth, without reference to the likelihood of a competing possibility, the figure has no relevance or significance at all

Para 160, the court quotes the appellant's argument, then comments on the missing comparison. Judgment of 2 October 2000. Speaker: The appellant's case, as quoted by the court, citing the fresh evidence of Dr Evett and Professor Dawid. Read para 160 in the judgment
Court comment

The competing possibility identified is a double infant murder by a mother. That may be capable of being expressed in terms of a statistical probability, but legally speaking the exercise is not realistic - see R -v- Denis Adams (No 2) [1998] 1 Cr App R 377, which shows that it is not an exercise the courts would perform.

Para 160, the court quotes the appellant's argument, then comments on the missing comparison. Judgment of 2 October 2000. Speaker: Court of Appeal. Read para 160 in the judgment
Fresh-evidence witness as reported, with court comment

Professor Dawid goes on to question the appropriateness of squaring 1 in 8,543 in order to produce the figure of 1 in 73 million. He notes the fact that the relevant table: "... does not take account of possible familial incidence of factors" [see paragraph 122 and the penultimate quoted sub-paragraph] and emphasises the possibility that there might be factors predisposing a family with one cot death to another. He suggests, not unreasonably, that the 1:73 million must be regarded as a "ball park" estimate. We do not imagine that the Crown would demur from that suggestion.

Para 139, the court reporting Professor Dawid's objection and its own response. Judgment of 2 October 2000. Speaker: Court of Appeal reporting Professor Dawid. Read para 139 in the judgment The final sentence is the court's comment; the rest reports Professor Dawid.
Fresh-evidence witness as reported by the court

He also makes the obvious point that the evidential material in Table 3.58 tells us nothing whatsoever as to the guilt or innocence of the appellant.

Para 141, Court of Appeal. Judgment of 2 October 2000. Speaker: Court of Appeal reporting a fresh-evidence witness (the excerpt says 'He'). Read para 141 in the judgment
Court's disposition

The appeal against conviction on each count is therefore dismissed.

Para 258, Court of Appeal. Judgment of 2 October 2000. Speaker: Court of Appeal. Read para 258 in the judgment

Read fairly, the record holds both accounts: at trial the figure was presented as showing two natural deaths in such a family would be very rare; on appeal the court accepted it was "no help" ex post, yet dismissed the appeal. These excerpts do not set out the reasons for dismissal, and this page draws no inference about them. Nor does it treat the absence of an identified natural cause as evidence of homicide: the record measures no such thing.

The arithmetic, reproduced exactly

  1. Per-birth input. For a family in which the parents do not smoke, at least one has a waged income and the mother is over 26, the cited risk is 1 in 8,543 live births (para 118).
  2. Squaring. 8,543 × 8,543 = 72,982,849. The notice reported 1:73,000,000, a rounding of 17,151 in the denominator (para 118, para 122).
  3. Denominator. Each 1 in 8,543 is per live birth. The product, 1 in 72,982,849, is per family with two live births and the three characteristics: a per-family figure, not a per-birth one. The testimony described it as "1 in 73 million live births" (para 114).
  4. "Once every hundred years." 72,982,849 ÷ 700,000 = 104.26 (using the rounded 73,000,000: 104.29). That divides a per-family-pair frequency by all live births in England, Wales and Scotland in a year, across all families. The yearly number of qualifying two-birth families, which the comparison would need, is not in the record.
  5. The conditional probability the squaring hides. Two deaths require P(two SIDS) = P(first) × P(second | first). Squaring sets P(second | first) equal to 1 in 8,543, which is independence. The quoted study gives a subsequent-child range from 1 in 214 to 1 in 8,543 across family profiles, assuming the factors stay the same, and says it "does not take account of possible familial incidence of factors" (para 122). That is not a measured recurrence for this family.
Expert notice, as quoted by the court

The likelihood of SIDS varies with social circumstances. The most recent estimation of the incidence in England is that for a family in which the parents do not smoke, in which at least one has a waged income and in which the mother is over the age of 26 years, the risk is 1:8,543 live births.

Para 118, quoting the expert's notice served 7 October 1999. Judgment of 2 October 2000. Speaker: An expert witness (not named in the excerpt), notice served 7 October 1999. Read para 118 in the judgment
Expert notice, as quoted by the court

Thus the chances of two infant deaths within such a family being SIDS is 1:73,000,000.

Para 118, quoting the expert's notice served 7 October 1999. Judgment of 2 October 2000. Speaker: An expert witness (not named in the excerpt). Read para 118 in the judgment
Trial testimony, as reported by the court

Q Later on in the paper does it go on to work out the risk of two infants dying of SIDS in that family by chance alone? A Yes, you have to multiply one in 8,543 times 1 in 8,543 and I think it gives that in the penultimate paragraph, its points out that it's approximately a chance of 1 in 73 million .... It gives a chance of 1 in 73 million live births and in England, Wales and Scotland there are about, say, 700,000 live births a year, so it is saying by chance that happening will occur once every hundred years.

Para 114, reported trial question and answer, under the judgment's section 'The trial'. Judgment of 2 October 2000. Speaker: A witness answering questions at trial (not named in the excerpt). Read para 114 in the judgment
Study text, as quoted by the court

Since the factors will generally remain the same (with the possible exception of maternal age below 27 years) the risk of SIDS to a subsequent child in a family in which one infant has already died will range from one in 214 to one on 8,543. this does not take account of possible familial incidence of factors other than those included in Table 3.58.

Para 122, quoted CESDI study text. Judgment of 2 October 2000. Speaker: CESDI study text quoted in the judgment. Read para 122 in the judgment
Study text, as quoted by the court

For a family with none of these three factors, the risk of two infants dying as SIDS by chance alone will thus be one in (8,543 x 8,543), ie approximately one in 73 million.

Para 122, quoted CESDI study text. Judgment of 2 October 2000. Speaker: CESDI study text quoted in the judgment. Read para 122 in the judgment
Court's account of the trial

The trial therefore started without the defence having the assistance of a medical statistician, and in the event, no such witness was called. But the Crown had no statistical expert either.

Para 120, Court of Appeal. Judgment of 2 October 2000. Speaker: Court of Appeal. Read para 120 in the judgment

What the statistic counts, and what it leaves unmeasured

Counts

  • An estimated frequency of two SIDS deaths per family with two live births and the three stated characteristics.
  • Only if the second death is independent of the first.
  • From one study estimate of 1 in 8,543, given with no interval. As the court reports, Professor Dawid suggested the product be regarded as a "ball park" estimate, and the court did not expect the Crown to demur (para 139).
  • A frequency before any death is known: it is not conditioned on the evidence in this case.

Unmeasured in this record

  • The chance of a second SIDS death given a first, in this kind of family, including familial factors.
  • The incidence of two maternal homicides on the same denominator (para 160 names the possibility; no rate is given).
  • Every other explanation: other natural causes, accident, one death of each kind, undetermined deaths.
  • How likely the actual medical and physical findings are under each explanation.
  • The probability that the appellant is innocent or guilty. The court reported the point that the table "tells us nothing whatsoever" about it (para 141).

The two-hypothesis expression the record supports

P(two SIDS) = (1 / 8,543) × r

Prior odds, two SIDS : two maternal homicides = [ (1 / 8,543) × r ] ÷ h

Here r is the chance a second infant in such a family dies of SIDS given the first did, and h is the incidence of two maternal homicides per family with two live births and the same profile. Both are unknown in this record. No rate for h is invented here.

Bounds that follow from the mathematics alone

  • Because 0 < r ≤ 1: P(two SIDS) is above zero and at most 1 in 8,543.
  • If one also assumes a first death never lowers a sibling's risk (r at least 1 in 8,543, an assumption the record does not measure), P(two SIDS) lies between 1 in 72,982,849 and 1 in 8,543: a span of 8,543 times.
  • For h the record gives nothing narrower than the meaning of a probability. The prior odds can therefore be any positive number.
  • These odds compare only two explanations. Even if both were known, they would not give the probability of either, because other explanations exist.

Prior odds, likelihood ratio, posterior: three different things

Posterior odds (two SIDS : two maternal homicides, given E) = Prior odds (two SIDS : two maternal homicides) × P(E | two SIDS) ÷ P(E | two maternal homicides)

E means the actual medical and physical findings, not the absence of an identified natural cause. The likelihood ratio's numerator is under two SIDS, matching the numerator of the odds; using the reciprocal would reverse the direction, and multiplying a ratio by its own reciprocal gives 1, not posterior odds. The record measures neither the prior odds nor this likelihood ratio, so no posterior odds are computed. A posterior probability of guilt would further need every alternative explanation and all the evidence, and the court said this is "not an exercise the courts would perform" (para 160).

Try a hypothetical recurrence

Hypothetical The values below are assumptions for illustration. None is a finding; the record contains no measured recurrence. Whatever you choose, the two maternal homicides comparator stays unknown.

Formula line: two-SIDS frequency equals 1 in 8,543 times a hypothetical recurrence rStraight line from zero. At r of 2 per cent the formula gives about 234 per 100 million families. The hollow point marks the squaring assumption, 1.37 per 100 million. No observed data are plotted.05010015020025000.511.52squaring assumptionHypothetical recurrence r, per cent (not measured)Two SIDS per 100 million familiesFirst-child estimate 1 in 8,543: SC1, para 118
The line plots the formula (1 / 8,543) × r over a hypothetical r from 0 to 2 per cent; it is not observed data. Vertical axis: two SIDS deaths per 100 million families with two live births and the three characteristics (a per-family, not per-birth, unit), starting at zero. Source for the first-child estimate: para 118 of the judgment. There is no sourced point estimate for r or for the two-homicide incidence, so neither is marked. Mathematically r could be as high as 1, giving 1 in 8,543; that lies off this scale.

Static equivalent

Hypothetical recurrence values and the resulting two-SIDS frequency
Hypothetical recurrence rTwo SIDS, one inPer 100 million two-birth familiesMultiple of 1 in 72,982,849Two maternal homicides
1 in 8,543 (squaring assumption)72,982,8491.371.00Unknown: no sourced rate
1 in 5,00042,715,0002.341.71Unknown: no sourced rate
1 in 2,00017,086,0005.854.27Unknown: no sourced rate
1 in 1,0008,543,00011.718.54Unknown: no sourced rate
1 in 5004,271,50023.4117.09Unknown: no sourced rate
1 in 2001,708,60058.5342.72Unknown: no sourced rate
1 in 100854,300117.0585.43Unknown: no sourced rate
1 in 50427,150234.11170.86Unknown: no sourced rate

What would change this call

  1. A sourced, measured probability that a second infant in a family with these characteristics dies of SIDS given that a first did, including familial factors.
  2. A sourced incidence of two maternal homicides on the same denominator: families with two live births and the same characteristics.
  3. Sourced incidences for every other explanation: other natural causes, accident, one death of each kind, and undetermined deaths.
  4. Measured probabilities of the actual medical and physical findings under each explanation, giving a likelihood ratio in the correct direction.
  5. A basis for combining the items of evidence, including how they depend on one another.
  6. Even then, the court's statement that courts would not perform this exercise (para 160) means a published number would be the reporter's construction, not the court's finding.

Chronology to the as-of date

  1. 7 October 1999Expert's notice served stating 1:8,543 and 1:73,000,000. (para 118)
  2. Trial date not stated in the excerptsTrial begins without a medical statistician for either side. (para 120)
  3. Trial date not stated in the excerptsWitness testifies to 1 in 73 million and once every hundred years. (para 114)
  4. 2 October 2000Court of Appeal: figure 'no help' ex post; appeal against conviction on each count dismissed. (para 258)

Source trail

IDDocumentPublisherDateLink
SC1R v Clark [2000] EWCA Crim 54Court of Appeal (Criminal Division)2 October 2000Open the judgment on BAILII

Every quotation on this page is taken verbatim from excerpts of SC1, with the paragraph number given in the excerpts. Witnesses not named in the excerpts are not named here.