| 
  
   
   
   
   
    
     
        
      
       
        
  
    
      
        
          | 
             Type I and Type II Errors - 
            Making Mistakes in the Justice System  | 
         
       
     | 
   
  
    | 
        
      
      Ever wonder how someone in America can be arrested if they really are 
      presumed innocent, why a defendant is found not guilty instead of 
      innocent, or why Americans put up with a justice system which sometimes 
      allows criminals to go free on technicalities? These questions can be 
      understood by examining the similarity of the American justice system to 
      hypothesis testing in statistics and the two types of errors it can 
      produce. (This discussion assumes that the reader has at least been 
      introduced to the normal distribution and its use in hypothesis testing. 
      Also please note that the American justice system is used for convenience. 
      Others are similar in nature such as the British system which inspired the 
      American system)  
      True, the trial process does not use numerical values 
      while hypothesis testing in statistics does, but both share at least four 
      common elements (other than a lot of jargon that sounds like double talk): 
      
        - The alternative hypothesis - This is the 
        reason a criminal is arrested. Obviously the police don't think the 
        arrested person is innocent or they wouldn't arrest him. In statistics 
        the alternative hypothesis is the hypothesis the researchers wish to 
        evaluate. 
 
        - The null hypothesis - In the criminal justice 
        system this is the presumption of innocence. In both the judicial system 
        and statistics the null hypothesis indicates that the suspect or 
        treatment didn't do anything. In other words, nothing out of the 
        ordinary happened  The null is the logical opposite of the  alternative. For example "not white" is the logical opposite of white. 
        Colors such as red, blue and green as well as black all qualify as "not 
        white".
 
        - A standard of judgment - In the justice system 
        and statistics there is no possibility of absolute proof and so a 
        standard has to be set for rejecting the null hypothesis. In the justice 
        system the standard is "a reasonable doubt". The null hypothesis has to 
        be rejected beyond a reasonable doubt. In statistics the standard is the 
        maximum acceptable probability that the effect is due to random 
        variability in the data rather than the potential cause being 
        investigated. This standard is often set at 5% which is called the alpha 
        level.
 
        - A data sample - This is the information 
        evaluated in order to reach a conclusion. As mentioned earlier, the data 
        is usually in numerical form for statistical analysis while it may be in 
        a wide diversity of forms--eye-witness, fiber analysis, fingerprints, 
        DNA analysis, etc.--for the justice system. However in both cases there 
        are standards for how the data must be collected and for what is 
        admissible. Both statistical analysis and the justice system operate on 
        samples of data or in other words partial information because, let's 
        face it, getting the whole truth and nothing but the truth is not 
        possible in the real world. 
 
       
      It only takes one good piece of evidence to send a 
      hypothesis down in flames but an endless amount to prove it correct. If 
      the null is rejected then logically the alternative hypothesis is 
      accepted. This is why both the justice system and statistics concentrate 
      on disproving or rejecting the null hypothesis rather than proving the 
      alternative. It's much easier to do. If a jury 
      rejects the presumption of innocence, the defendant is pronounced guilty.  
       Type I errors: Unfortunately, neither the legal 
      system or statistical testing are perfect. A jury sometimes makes an error 
      and an innocent person goes to jail. Statisticians, being highly 
      imaginative, call this a type I error. Civilians call it a travesty.  
      In the justice system, failure to reject the presumption 
      of innocence gives the defendant a not guilty verdict. This means only 
      that the standard for rejecting innocence was not met. It does not mean 
      the person really is innocent. It would take an endless amount of evidence 
      to actually prove the null hypothesis of innocence.   
       Type II errors: Sometimes, guilty people are set 
      free. Statisticians have given this error the highly imaginative name, 
      type II error.  
       Americans find type II errors disturbing but not as 
      horrifying as type I errors. A type I error means that not only has an 
      innocent person been sent to jail but the truly guilty person has gone 
      free. In a sense, a type I error in a trial is twice as bad as a type II 
      error. Needless to say, the American justice system puts a lot of emphasis 
      on avoiding type I errors.  This emphasis on avoiding type I errors, 
      however, is not true in all cases where statistical hypothesis testing is 
      done. 
      In statistical hypothesis testing used for quality 
      control in manufacturing, the type II error is considered worse than a 
      type I. Here the null hypothesis indicates that the product satisfies the 
      customer's specifications. If the null hypothesis is rejected for a batch 
      of product, it cannot be sold to the customer. Rejecting a good batch by 
      mistake--a type I error--is a very expensive error but not as expensive as 
      failing to reject a bad batch of product--a type II error--and shipping it 
      to a customer. This can result in losing the customer and tarnishing the 
      company's reputation. 
      
        
          
            
              
                | 
                Justice System - Trial | 
               
              
                 | 
                
                Defendant Innocent | 
                
                Defendant Guilty | 
               
      
            
              | 
                 Reject Presumption 
                of Innocence (Guilty Verdict)  | 
        
      
      Type I Error | 
      
      
      Correct | 
               
            
              | 
                 Fail to Reject 
                Presumption of Innocence (Not Guilty Verdict)  | 
        
      
      Correct | 
      
         Type II 
        Error  | 
               
             
      
           | 
           | 
          
            
              
                |              
                  Statistics - Hypothesis Test | 
               
              
                 | 
                
                Null Hypothesis True | 
                
                Null Hypothesis False | 
               
            
              | 
                 Reject Null 
                Hypothesis  | 
        
      
      Type I Error | 
      
      Correct | 
               
      
            
              | 
                 Fail to Reject Null 
                Hypothesis  | 
        
      
      Correct | 
      
         Type II 
        Error  | 
               
             
  
           | 
         
       
     | 
   
        
  
    | 
       In the criminal justice system a 
      measurement of guilt or innocence is packaged in the form of a witness, 
      similar to a data point in statistical analysis. Using this comparison we 
      can talk about sample size in both trials and hypothesis tests. In a 
      hypothesis test a single data point would be a sample size of one and ten 
      data points a sample size of ten. Likewise, in the justice system one 
      witness would be a sample size of one, ten witnesses a sample size ten, 
      and so forth. 
      Impact on a jury is going to depend on the 
      credibility of the witness as well as the actual testimony. An articulate 
      pillar of the community is going to be more credible to a jury than a 
      stuttering wino, regardless of what he or she says.  
      The normal distribution shown in figure 1 
      represents the distribution of testimony for all possible witnesses in a 
      trial for a person who is innocent. Witnesses represented by the left hand 
      tail would be highly credible people who are convinced that the person is 
      innocent. Those represented by the right tail would be highly credible 
      people wrongfully convinced that the person is guilty. 
      At first glace, the idea that highly 
      credible people could not just be wrong but also adamant about their 
      testimony might seem absurd, but it happens. According to the
      innocence 
      project, "eyewitness misidentifications contributed to over 75% of the 
      more than 220 wrongful convictions in the United States overturned by 
      post-conviction DNA evidence." Who could possibly be more credible than a 
      rape victim convinced of the identity of her attacker, yet even here 
      mistakes have been documented. 
      For example, a rape victim mistakenly 
      identified
      
      John Jerome White as her attacker even though the actual perpetrator 
      was in the lineup at the time of identification. Thanks to DNA evidence 
      White was eventually exonerated, but only after wrongfully serving 22 
      years in prison. 
       If the standard of judgment for evaluating 
      testimony were positioned as shown in figure 2 and only one witness 
      testified, the accused innocent person would be judged guilty (a type I 
      error) if the witnesses testimony was in the red area. Since the normal 
      distribution extends to infinity, type I errors would never be zero even 
      if the standard of judgment were moved to the far right. The only way to 
      prevent all type I errors would be to arrest no one. Unfortunately this 
      would drive the number of unpunished criminals or type II errors through 
      the roof.  
        
     | 
    
        
    
      
        | 
         
           | 
       
      
        
        
          figure 1. Distribution of possible witnesses in 
          a trial when the accused is innocent 
         | 
       
      
        
        
        
          
         | 
       
      
        | 
          
  | 
       
      
        
        
          figure 2. Distribution of possible witnesses in 
          a trial when the accused is innocent, showing the probable outcomes 
          with a single witness. 
           | 
       
     
     | 
   
  
    | 
       Figure 3 shows what happens not only to innocent 
      suspects but also guilty ones when they are arrested and tried for crimes. 
      In this case, the criminals are clearly guilty and face certain punishment 
      if arrested. 
       
         | 
   
  
    
    
      
        
          
            
              
                | 
               | 
              
                | 
             
            
              | figure 3. Distribution of 
              possible witnesses in a trial showing the probable outcomes with a 
              single witness if the accused is innocent or obviously guilty.. | 
               | 
              figure 4. Distribution of possible 
              witnesses in a trial showing the probable outcomes with a single 
              witness if the accused is innocent or not clearly guilty.. | 
             
            
              |      | 
                | 
                | 
             
            
              | 
                 If the police bungle the investigation and 
                arrest an innocent suspect, there is still a chance that the 
                innocent person could go to jail. Also, since the normal 
                distribution extends to infinity in both positive and negative 
                directions there is a very slight chance that a guilty person 
                could be found on the left side of the standard of judgment and 
                be incorrectly set free.    
                Unfortunately, justice is often not as 
                straightforward as illustrated in figure 3. Figure 4 shows the 
                more typical case in which the real criminals are not so clearly 
                guilty. Notice that the means of the two distributions are much 
                closer together. As before, if bungling police officers arrest 
                an innocent suspect there's a small chance that the wrong person 
                will be convicted. However, there is now also a significant 
                chance that a guilty person will be set free. This is 
                represented by the yellow/green area under the curve on the left 
                and is a type II error. 
                 | 
                | 
              
                | 
             
            
              |   | 
                | 
              figure 5. The effects of increasing 
              sample size or in other words, number of independent witnesses. | 
             
            
              
          
            
              | 
                 If the standard of judgment is moved to the 
                left by making it less strict the number of type II errors or 
                criminals going free will be reduced. This change in the 
                standard of judgment could be accomplished by throwing out the 
                reasonable doubt standard and instructing the jury to find the 
                defendant guilty if they simply think it's possible that she did 
                the crime. However, such a change would make the type I errors 
                unacceptably high. While fixing the justice system by moving the 
                standard of judgment has great appeal, in the end there's no 
                free lunch. 
                Fortunately, it's possible to reduce type I 
                and II errors without adjusting the standard of judgment. Juries 
                tend to average the  testimony of witnesses. In other 
                words, a highly credible witness for the accused will counteract 
                a highly credible witness against the accused. So, although at 
                some point there is a diminishing return, increasing the number 
                of witnesses (assuming they are independent of each other) tends 
                to give a better picture of innocence or guilt. 
                Increasing sample size is an obvious way to 
                reduce both types of errors for either the justice system or a 
                hypothesis test. As shown in figure 5 an increase of sample size 
                narrows the distribution. Why? Because the distribution 
                represents the average of the entire sample instead of just a 
                single data point. 
                In hypothesis testing the sample size is 
                increased by collecting more data. In the justice system it's 
                increase by finding more witnesses. Obviously, there are 
                practical limitations to sample size. In the justice system 
                witnesses are also often not independent and may end up 
                influencing each other's testimony--a situation similar to 
                reducing sample size. Giving both the accused and the prosecution access to lawyers 
                helps make sure that no significant witness goes unheard, but 
                again, the system is not perfect. 
                About the only other way to decrease both the 
                type I and type II errors is to increase the reliability of the 
                data measurements or witnesses. For example the Innocence 
                Project has proposed
                
                reforms on how lineups are performed. These include blind 
                administration, meaning that the police officer administering 
                the lineup does not know who the suspect is. That way the 
                officer cannot inadvertently give hints resulting in 
                misidentification.  
                The value 
              of unbiased, highly trained, top quality police investigators with 
              state of the art equipment should be obvious.  There is no 
              possibility of having a type I error if the police never arrest 
              the wrong person. Of course, modern tools such as DNA testing are 
              very important, but so are properly designed and executed police 
              procedures and professionalism. The famous trial of  O. 
              J. Simpson would have likely ended in a guilty verdict if the Los 
              Angeles Police officers investigating the crime had been beyond 
              reproach.  
                  
                < Return to Contents 
               | 
               | 
              
                
                  
                    | 
                     Statistical Errors 
                    Applet 
                      The applet below can alter both the 
                      standard of judgment and distance between means for a 
                      statistical hypothesis test. It calculates type I and type 
                      II errors when you move the sliders. Like any analysis of 
                      this type it assumes that the distribution for the null 
                      hypothesis is the same shape as the distribution of the 
                      alternative hypothesis.  
                      Note, that the horizontal axis is set up 
                      to indicate how many standard deviations a value is away 
                      from the mean. Zero represents the mean for the 
                      distribution of the null hypothesis.  
                      When the sample size is one, the normal 
                      distributions drawn in the applet represent the population 
                      of all data points for the respective condition of Ho 
                      correct or Ha correct. When the sample size is increased 
                      above one the distributions become sampling distributions 
                      which represent the means of all possible samples drawn 
                      from the respective population. Standard error is simply 
                      the standard deviation of a sampling distribution. Note 
                      that this is the same for both sampling distributions 
                      
                        
                          | Try 
                          adjusting the sample size, standard of judgment (the 
                          dashed red line), and position of the distribution for 
                          the alternative hypothesis (Ha) and you will develop a 
                          "feeling" for how they interact. 
                           Note that a type I error is often 
                          called alpha. The type II error is often called beta. 
                          The power of the test = ( 100% - beta).  | 
                           | 
                          
                          
                            | 
                         
                        
                          | 
                          Applet 1. Statistical Errors | 
                         
                        
                          |   
                          Note: to run 
                          the above applet you must have Java enabled in your 
                          browser and have a Java runtime environment (JRE) 
                          installed on you computer. If you have not installed a 
                          JRE you can download it for free
                          here.  | 
                         
                       
                     | 
                   
                 
                 | 
             
             
               | 
             
           
         | 
       
     
     | 
   
 
         | 
        
       
      | 
     
    
   |