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Inference of Population History Using a Likelihood Approach
Gunter Weissa and Arndt von Haeseleraa Institute of Zoology, University of Munich, D-80333 Munich, Germany
Corresponding author: Arndt von Haeseler, Institute of Zoology, University of Munich, Luisenstrasse 14, D-80333 Munich, Germany, arndt{at}zi.biologie.uni-muenchen.de (E-mail).
Communicating editor: S. TAVARÉ
| ABSTRACT |
|---|
We introduce an approach to revealing the likelihood of different population histories that utilizes an explicit model of sequence evolution for the DNA segment under study. Based on a phylogenetic tree reconstruction method we show that a Tamura-Nei model with heterogeneous mutation rates is a fair description of the evolutionary process of the hypervariable region I of the mitochondrial DNA from humans. Assuming this complex model still allows the estimation of population history parameters, we suggest a likelihood approach to conducting statistical inference within a class of expansion models. More precisely, the likelihood of the data is based on the mean pairwise differences between DNA sequences and the number of variable sites in a sample. The use of likelihood ratios enables comparison of different hypotheses about population history, such as constant population size during the past or an increase or decrease of population size starting at some point back in time. This method was applied to show that the population of the Basques has expanded, whereas that of the Biaka pygmies is most likely decreasing. The Nuu-Chah-Nulth data are consistent with a model of constant population.
IN the past decade much effort has been put into collecting and sequencing DNA from human populations from all over the world (![]()
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There are different approaches to analyzing this sort of data: Networks are a suggestive way to visualize the relationship of sequences in a sample (![]()
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Here we study a class of expansion models that include three parameters: the initial population size, the point back in time when exponential growth (positive or negative) began, and the ratio of current to initial population size. Other authors (![]()
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We argue that a Tamura-Nei model with
-distributed rates is more appropriate for describing the evolution of HVRI sequences (![]()
| THEORETICAL BACKGROUND |
|---|
The coalescent (![]()
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The mutation process of HVRI sequences:
Since DNA sequence evolution generally does not adhere to the infinitely many sites model, it is essential to investigate the process of sequence evolution in greater detail. We suggest decoupling the estimation of mutation parameters from the analysis of a specific population sample. This approach requires a reasonably large number of sequences from a widespread distribution of different populations. To model the mutation process we assume that evolution at a given site follows a time-continuous, time-homogeneous Markov chain. The most general model we allow for is the so-called Tamura-Nei model (1993). This model is most conveniently summarized in the rate matrix R (Scheme 1), where the omitted diagonal elements are set such that the elements in each row add up to zero. The entry ri,j (i,j = A,C,G,T, i
j)
A,
C,
G,
T, a transition/transversion parameter
, and a pyrimidine/purine transition parameter
. Note that other models are special cases of the Tamura-Nei model. If
= 1, the Hasegawa Kishino Yano (HKY) model (
= 0.5, the Jukes-Cantor model is obtained (
-distribution
(
For a specific model the corresponding mutation parameters are estimated by employing a phylogenetic approach. That is, a random sample of lineages is drawn from the collection of sequences. Subsequently, a maximum likelihood tree using the PUZZLE program is reconstructed and the mutation parameters are estimated from the tree (![]()
However, as outlined above, we still have the choice between a variety of complex models. To find out the most appropriate model of evolution for HVRI sequences, we employed GOLDMAN'S suggestion (1993) of a likelihood ratio test (e.g., ![]()
![]()
2 approximation for the distribution of
= -2 ln(
) under H0 cannot be used in the phylogenetic context (![]()
is compared to the empirical distribution, which is obtained as follows: Sequences were generated under hypothesis H0 (e.g., the estimated ML tree under HKY), using the program Seq-Gen (![]()
are computed as described for the true data. H0 are computed as described for the true data. H0 is rejected if the observed
-value of the data falls in the upper 5% tail of the empirical distribution. Usually, 100 sets of sequences are generated. If H0 is rejected, it is assumed that the parameters of the evolutionary model from H1 are more appropriate for describing sequence evolution.
Starting with the most simple model (e.g., JUKES-CANTOR 1969) one can gradually increase the complexity of the models until H0 is no longer rejected or until we cannot increase the complexity of the model (in our case the Tamura-Nei model with
-distributed rates is the most complex model).
The entire procedure was applied to estimate the best evolutionary model for the 360-bp region [corresponding to positions 16024 through 16383 (![]()
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To pick the most appropriate model of sequence evolution, 10 x 25 random lineages were samples from the collection (![]()
-distributed rates was the best model as indicated by the likelihood of the tree. All simpler models were rejected on the 5% level, except for the HKY model with
-distributed rates, which was rejected only in 1 out of the 10 cases. Since the Tamura-Nei model with
-distributed rates always provided a higher likelihood, this model is assumed in the following. Finally, the model parameters (cf. Scheme 1) were estimated from 50 sets of 50 lineages that were randomly chosen from the HVRI sequences collection (![]()
of 0.26 and other estimates ranging from 0.11 to 0.47 (![]()
![]()
, which corresponds with other observations (![]()
![]()
-distributed rates and the parameter values from column three of Table 1.
|
A class of population history models:
The basic model of population history is the Wright-Fisher model, assuming a panmictic population of constant size with nonoverlapping generations (![]()
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We will investigate a class of expansion model where a Wright-Fisher population at equilibrium started to grow or decrease exponentially at a certain time
in the past to the current population size. This model is defined by three parameters:
= 2N0µ is the population parameter at equilibrium in the past. Here, N0 denotes the initial effective population size and µ is the mutation rate per sequence and generation.
is the time when the population size started to change, where
is measured in units of 1/µ. Finally,
defines the ratio of current to initial population size. We get the basic model of constant size as a special case of the expansion model by setting
equal to one. Then the time parameter
remains unspecified. Figure 1 sketches the three scenarios.
|
Inference of population history parameters:
In the following, we assume that the mutation process is known. Thus, the evolution of a sample of sequences is fully characterized by the three parameters
,
, and
. To estimate these three parameters a likelihood method is reasonable. Instead of conditioning the likelihood of the parameter set on the full sequence data as the elegant approach of ![]()
![]()
,
,
), there are several reasons to proceed in that manner: First, we are more interested in detecting major demographic signals in the data than in giving precise joint estimates (together with the inherent large variances of these estimates). Second, by conditioning on both K and S, we make implicit use of the relationship between the mean pairwise difference and the number of variable positions, which proved useful in TAJIMA's D-statistic (1989a). Assuming the infinitely many sites model ![]()
The set of parameters that maximizes the likelihood lik(
,
,
|k,s) defines the most probable population history within the class of models described in the previous paragraph. To rate the plausibility of a parameter set (
0,
0,
0) we use the likelihood ratio lik(
0,
0,
0|k,s)/LA, where LA is the maximum likelihood value within the considered class of population histories.
The remaining question is how to compute the likelihoods for a given data set. To the best of our knowledge analytical formulae for the likelihood functions based on a complex model of sequence evolution are not available, even in the case of a population of constant size. Therefore, we will use computer simulations to determine the likelihood value of the parameter sets.
Simulations:
Coalescent theory provides an efficient way to simulate the evolution of a sample of sequences under various population histories. The coalescent is a stochastic process that counts the number of distinct ancestors in a genealogy of a sample of size n as one moves back in time. If the current population size N is large and time is measured in N generations, the coalescent provides a good approximation to the ancestral process of the sample (![]()
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If the population size varies deterministically, the coalescent approximation still holds, but the coalescent times must be rescaled appropriately (![]()
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(1) |
Furthermore, we define the population size intensity function
:
![]() |
(2) |
When population size varies, the sequence Sn, Sn-1, ... , S2 is still Markovian. Although the times Tj are not independent anymore, it is straightforward to simulate the coalescent times (![]()
For j = n, ... , 2 the times Sj are determined by recursively solving the equation
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(3) |
Sequences according to the genealogy are then produced as follows: We generate an ancestral sequence at the root of the genealogy according to the stationary base composition in Table 1. This sequence then evolves along the genealogy under the Tamura-Nei model with rate heterogeneity. Thus, one simulated data set is produced.
The approximate likelihood value lik(
,
,
|k,s) for a real data set with mean pairwise difference k and s variable positions is based on j = 1, ... , B simulations according to the specified parameters (
,
,
). For a simulated data set j we computed the mean pairwise difference kj and the number of variable positions sj. Because the mean pairwise difference is virtually a continuous variable, we introduce the indicator variable
![]() |
(4) |
is a small positive number that defines an interval with k as the center. Thus, the indicator variable equals one for simulations that are reasonably close to our summary statistics observed in the data. The choice of
is a compromise between the efficiency of the simulations and the precision of the approximation. In our investigation
= 0.2 proved to be useful when B = 25,000. The likelihood value of a parameter set is then approximated by
![]() |
(5) |
We determine the likelihood values on a grid of parameter combinations to approximate the maximum likelihood value under the most general hypothesis and the specific subset of parameters defined by the null hypothesis.
| APPLICATION TO SEQUENCE DATA |
|---|
We demonstrate the features of our method by analyzing published data sets from three populations: The Basques are linguistic isolates living on both sides of the border between France and Spain (![]()
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|
Assuming the model of evolution as specified in Table 1, we determined for each population the likelihood values for various parameter combinations according to Equation 5. The number of simulations B was equal to 25,000 and
= 0.2. Thereby,
was set equal to 10z, z being an integer. In this notation z = 0 reflects the case of constant population size over time. If z > 0 the population size is increasing, and if z < 0, it is decreasing. The likelihood values determined for
were a multiple of one-fourth and
a multiple of one-half.
The parameter set that yields the highest likelihood (LpopA ) is regarded as the most probable population history. Since this point estimate does not reflect the uncertainty inherent in the stochastic models, we rate each parameter set (
0,
0,
0) using the likelihood ratio
. Figure 2 Figure 3 Figure 4 show graphical representation of these results. Each panel refers to the specified value of
. The abscissa and ordinate represent the parameters
and
, respectively. (Note that if
= 1,
is not defined and the panel is only one dimensional.) The different gray levels reflect the likelihood ratio of the corresponding parameter sets. Dark colors represent high values of the likelihood ratio (see the legend in Figure 2). If the usual
2 theory applies, then plain white color would indicate parameter combinations that are rejected on the 5% level. Conversely, colored boxes belong to a 95% confidence set.
|
|
|
Figure 2 represents the analysis of the Basques. Parameters sets that favor a recent expansion (small
) from a small population (small
) receive high support from the data. Models of population decrease or constant population size get virtually no support. The corresponding panels are plain white and therefore omitted from Figure 2. Thus, we conclude that this data set is consistent with a model exponential growth. The analysis further suggests that the Basques stem from a rather small founding population (as measured by mitochondrial variability) that started to increase in size one to four mutational time units ago.
The picture of the Nuu-Chah-Nulth data set (Figure 3) shows a different result. Neither models of population decrease nor increase were rejected. The most probable parameter set is that of constant size and
= 7.5. Figure 3 indicates also high support for a very recent expansion (
0.5). However, this result suggests that further analysis of this data set is reasonable under the constant size assumption.
The analysis of the Biaka pygmies reveals an interesting result (Figure 4). Models that assume a moderate decrease in population size (
= 0.1) obtain a high support. Also, the long-term constant size model is conceivable. The decrease could be the result of an expansion of other populations into the habitat of the Biaka pygmies, pushing them back to more restricted areas.
| DISCUSSION |
|---|
Effects of variable population size on genetic diversity measures are confounded with the effects of rate variation in the sequences (![]()
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The large amount of available HVRI sequence data (![]()
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We studied a class of population histories that allows for positive or negative growth of a population starting from a population at equilibrium in the past. Even though these models are more general than the frequently used constant-size assumption, it is obvious that they are simplistic and do not describe the evolution of a population in its full complexity. Nevertheless, the application section shows that this approach detects signals of major changes in population size. Moreover, we rated demographic scenarios by their likelihood ratio. This yields a set of plausible parameter combinations consistent with the data. On the basis of these parameters, further questions, such as the estimation of the time to the most recent common ancestor, can be addressed (![]()
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The proposed likelihood approach makes implicit use of the relationship of the mean pairwise difference and the number of variable positions. Therefore, it is far more applicable than "mismatch analysis" (![]()
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In principle, the likelihood ratio approach is applicable to other classes of population history. The extension to demographic scenarios that are different from the exponential growth model is straightforward. This could be done by appropriately altering the rescaling of the coalescent times (Equation 1 and Equation 2). Also, simple subpopulation models with migration (![]()
With the prospective large amount of available DNA sequence data, the refinement of our understanding of the evolution of different parts of our genome, and the development of applicative methods of analysis, we will be able to improve our knowledge of the history of our species in the near future.
| ACKNOWLEDGMENTS |
|---|
The authors are grateful to KORBINIAN STRIMMER for helpful comments on the use of PUZZLE and SONJA MEYER for providing the HVRI data collection and discussing the estimation of mutation parameters. We thank ELLEN BAAKE and SVANTE PÄÄBO for fruitful discussions and improving the manuscript. Critical comments from two anonymous referees and the editor are also gratefully acknowledged. This work was supported by a grant from the Deutsche Forschungsgemeinschaft (DGF) to A.v.H. The simulation program described here is available upon request (arndt@zi.biologie.uni-muenchen.de, gweiss@zi.biologie.uni-muenchen.de).
Manuscript received July 28, 1997; Accepted for publication March 23, 1998.
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