A number of different Markov models of DNA sequence evolution have been proposed.[1] These substitution models differ in terms of the parameters used to describe the rates at which one nucleotide replaces another during evolution. These models are frequently used in molecular phylogenetic analyses. In particular, they are used during the calculation of likelihood of a tree (in Bayesian and maximum likelihood approaches to tree estimation) and they are used to estimate the evolutionary distance between sequences from the observed differences between the sequences.
These models are phenomenological descriptions of the evolution of DNA as a string of four discrete states. These Markov models do not explicitly depict the mechanism of mutation nor the action of natural selection. Rather they describe the relative rates of different changes. For example, mutational biases and purifying selection favoring conservative changes are probably both responsible for the relatively high rate of transitions compared to transversions in evolving sequences. However, the Kimura (K80) model described below only attempts to capture the effect of both forces in a parameter that reflects the relative rate of transitions to transversions.
Evolutionary analyses of sequences are conducted on a wide variety of time scales. Thus, it is convenient to express these models in terms of the instantaneous rates of change between different states (the Q matrices below). If we are given a starting (ancestral) state at one position, the model's Q matrix and a branch length expressing the expected number of changes to have occurred since the ancestor, then we can derive the probability of the descendant sequence having each of the four states. The mathematical details of this transformation from rate-matrix to probability matrix are described in the mathematics of substitution models section of the substitution model page. By expressing models in terms of the instantaneous rates of change we can avoid estimating a large numbers of parameters for each branch on a phylogenetic tree (or each comparison if the analysis involves many pairwise sequence comparisons).
The models described on this page describe the evolution of a single site within a set of sequences. They are often used for analyzing the evolution of an entire locus by making the simplifying assumption that different sites evolve independently and are identically distributed. This assumption may be justifiable if the sites can be assumed to be evolving neutrally. If the primary effect of natural selection on the evolution of the sequences is to constrain some sites, then models of among-site rate-heterogeneity can be used. This approach allows one to estimate only one matrix of relative rates of substitution, and another set of parameters describing the variance in the total rate of substitution across sites.
Continuous-time Markov chains have the usual transition matrices which are, in addition, parameterized by time,
t
E1,E2,E3,E4
P(t)=(Pij(t))
Pij(t)
Ei
Ej
t
Example: We would like to model the substitution process in DNA sequences (i.e. Jukes–Cantor, Kimura, etc.) in a continuous-time fashion. The corresponding transition matrices will look like:
P(t)=\begin{pmatrix} pAA(t)&pAG(t)&pAC(t)&pAT(t)\\ pGA(t)&pGG(t)&pGC(t)&pGT(t)\\ pCA(t)&pCG(t)&pCC(t)&pCT(t)\\ pTA(t)&pTG(t)&pTC(t)&pTT(t) \end{pmatrix}
where the top-left and bottom-right 2 × 2 blocks correspond to transition probabilities and the top-right and bottom-left 2 × 2 blocks corresponds to transversion probabilities.
Assumption: If at some time
t0
Ei
t0+t
Ej
i
j
t
pij(t)
Theorem: Continuous-time transition matrices satisfy:
P(t+\tau)=P(t)P(\tau)
Note: There is here a possible confusion between two meanings of the word transition. (i) In the context of Markov chains, transition is the general term for the change between two states. (ii) In the context of nucleotide changes in DNA sequences, transition is a specific term for the exchange between either the two purines (A ↔ G) or the two pyrimidines (C ↔ T) (for additional details, see the article about transitions in genetics). By contrast, an exchange between one purine and one pyrimidine is called a transversion.
Consider a DNA sequence of fixed length m evolving in time by base replacement. Assume that the processes followed by the m sites are Markovian independent, identically distributed and that the process is constant over time. For a particular site, let
l{E}=\{A,G,C,T\}
p(t)=(pA(t),pG(t),pC(t),pT(t))
t
x,y\inl{E}
\muxy
x
y
x
x
\mux=\sumy ≠ \muxy.
The changes in the probability distribution
pA(t)
\Deltat
pA(t+\Deltat)=pA(t)-pA(t)\muA\Deltat+\sumx ≠ px(t)\muxA\Deltat.
In other words, (in frequentist language), the frequency of
A
t+\Deltat
t
A
A
Similarly for the probabilities
pG(t)
pC(t)
pT(t)
p(t+\Deltat)=p(t)+p(t)Q\Deltat,
Q=\begin{pmatrix}-\muA&\muAG&\muAC&\muAT\\ \muGA&-\muG&\muGC&\muGT\\ \muCA&\muCG&-\muC&\muCT\\ \muTA&\muTG&\muTC&-\muT\end{pmatrix}
Q
p'(t)=p(t)Q.
Q
P(t)=\exp(tQ),
\exp(tQ)
tQ
p(t)=p(0)P(t)=p(0)\exp(tQ).
If the Markov chain is irreducible, i.e. if it is always possible to go from a state
x
y
{\boldsymbol\pi}=\{\pix,x\inl{E}\}
\pix
x
\piA,\piG,\piC,\piT
{\boldsymbol\pi}
{\boldsymbol\pi}Q=0
p(t)
{\boldsymbol\pi}
{p'(t)=p(t)Q=\boldsymbol\pi}Q=0.
pA(t),pG(t),pC(t),pT(t)
Definition: A stationary Markov process is time reversible if (in the steady state) the amount of change from state
x
y
y
x
\pix\muxy=\piy\muyx
Not all stationary processes are reversible, however, most commonly used DNA evolution models assume time reversibility, which is considered to be a reasonable assumption.
Under the time reversibility assumption, let
sxy=\muxy/\piy
sxy=syx
Definition The symmetric term
sxy
x
y
sxy
x
y
x
Corollary The 12 off-diagonal entries of the rate matrix,
Q
Q
\pix
By comparing extant sequences, one can determine the amount of sequence divergence. This raw measurement of divergence provides information about the number of changes that have occurred along the path separating the sequences. The simple count of differences (the Hamming distance) between sequences will often underestimate the number of substitution because of multiple hits (see homoplasy). Trying to estimate the exact number of changes that have occurred is difficult, and usually not necessary. Instead, branch lengths (and path lengths) in phylogenetic analyses are usually expressed in the expected number of changes per site. The path length is the product of the duration of the path in time and the mean rate of substitutions. While their product can be estimated, the rate and time are not identifiable from sequence divergence.
The descriptions of rate matrices on this page accurately reflect the relative magnitude of different substitutions, but these rate matrices are not scaled such that a branch length of 1 yields one expected change. This scaling can be accomplished by multiplying every element of the matrix by the same factor, or simply by scaling the branch lengths. If we use the β to denote the scaling factor, and ν to denote the branch length measured in the expected number of substitutions per site then βν is used in the transition probability formulae below in place of μt. Note that ν is a parameter to be estimated from data, and is referred to as the branch length, while β is simply a number that can be calculated from the rate matrix (it is not a separate free parameter).
The value of β can be found by forcing the expected rate of flux of states to 1. The diagonal entries of the rate-matrix (the Q matrix) represent -1 times the rate of leaving each state. For time-reversible models, we know the equilibrium state frequencies (these are simply the πi parameter value for state i). Thus we can find the expected rate of change by calculating the sum of flux out of each state weighted by the proportion of sites that are expected to be in that class. Setting β to be the reciprocal of this sum will guarantee that scaled process has an expected flux of 1:
\beta=1/\left(-\sumi\pii\muii\right)
JC69, the Jukes and Cantor 1969 model,[2] is the simplest substitution model. There are several assumptions. It assumes equal base frequencies
\left(\piA=\piG=\piC=\piT={1\over4}\right)
\mu
Q=\begin{pmatrix}{*}&{\mu\over4}&{\mu\over4}&{\mu\over4}\ {\mu\over4}&{*}&{\mu\over4}&{\mu\over4}\ {\mu\over4}&{\mu\over4}&{*}&{\mu\over4}\ {\mu\over4}&{\mu\over4}&{\mu\over4}&{*}\end{pmatrix}
P=\begin{pmatrix}{{1\over4}+{3\over4}e-t\mu
When branch length,
\nu
Pij(\nu)=\left\{ \begin{array}{cc} {1\over4}+{3\over4}e-4\nu/3&ifi=j\\ {1\over4}-{1\over4}e-4\nu/3&ifi ≠ j\end{array} \right.
It is worth noticing that
\nu={3\over4}t\mu=({\mu\over4}+{\mu\over4}+{\mu\over4})t
Q
t
\mu
Given the proportion
p
\hat{d}=-{3\over4}ln({1-{4\over3}p})=\hat{\nu}
p
p
p
p
K80, the Kimura 1980 model,[3] often referred to as Kimura's two parameter model (or the K2P model), distinguishes between transitions (
A\leftrightarrowG
C\leftrightarrowT
\piA=\piG=\piC=\piT={1\over4}
Rate matrix
Q=\begin{pmatrix}{*}&{\kappa}&{1}&{1}\ {\kappa}&{*}&{1}&{1}\ {1}&{1}&{*}&{\kappa}\ {1}&{1}&{\kappa}&{*}\end{pmatrix}
A
G
C
T
The Kimura two-parameter distance is given by:
K=-{1\over2}ln((1-2p-q)\sqrt{1-2q})
where p is the proportion of sites that show transitional differences and q is the proportion of sites that show transversional differences.
K81, the Kimura 1981 model,[4] often called Kimura's three parameter model (K3P model) or the Kimura three substitution type (K3ST) model, has distinct rates for transitions and two distinct types of transversions. The two transversion types are those that conserve the weak/strong properties of the nucleotides (i.e.,
A\leftrightarrowT
C\leftrightarrowG
\gamma
A\leftrightarrowC
G\leftrightarrowT
\beta
\piA=\piG=\piC=\piT=0.25
Rate matrix
Q=\begin{pmatrix}{*}&{\alpha}&{\beta}&{\gamma}\ {\alpha}&{*}&{\gamma}&{\beta}\ {\beta}&{\gamma}&{*}&{\alpha}\ {\gamma}&{\beta}&{\alpha}&{*}\end{pmatrix}
A
G
C
T
The K81 model is used much less often than the K80 (K2P) model for distance estimation and it is seldom the best-fitting model in maximum likelihood phylogenetics. Despite these facts, the K81 model has continued to be studied in the context of mathematical phylogenetics.[5] [6] [7] One important property is the ability to perform a Hadamard transform assuming the site patterns were generated on a tree with nucleotides evolving under the K81 model.[8] [9] [10]
When used in the context of phylogenetics the Hadamard transform provides an elegant and fully invertible means to calculate expected site pattern frequencies given a set of branch lengths (or vice versa). Unlike many maximum likelihood calculations, the relative values for
\alpha
\beta
\gamma
F81, the Felsenstein's 1981 model,[13] is an extension of the JC69 model in which base frequencies are allowed to vary from 0.25 (
\piA\ne\piG\ne\piC\ne\piT
Rate matrix:
Q=\begin{pmatrix}{*}&{\piG}&{\piC}&{\piT}\ {\piA}&{*}&{\piC}&{\piT}\ {\piA}&{\piG}&{*}&{\piT}\ {\piA}&{\piG}&{\piC}&{*}\end{pmatrix}
When branch length, ν, is measured in the expected number of changes per site then:
\beta=
2) | |
1/(1-\pi | |
T |
Pij(\nu)=\left\{ \begin{array}{cc} e-\beta\nu+\pij\left(1-e-\beta\nu\right)&ifi=j\\ \pij\left(1-e-\beta\nu\right)&ifi ≠ j\end{array} \right.
HKY85, the Hasegawa, Kishino and Yano 1985 model,[14] can be thought of as combining the extensions made in the Kimura80 and Felsenstein81 models. Namely, it distinguishes between the rate of transitions and transversions (using the κ parameter), and it allows unequal base frequencies (
\piA\ne\piG\ne\piC\ne\piT
Rate matrix
Q=\begin{pmatrix}{*}&{\kappa\piG}&{\piC}&{\piT}\ {\kappa\piA}&{*}&{\piC}&{\piT}\ {\piA}&{\piG}&{*}&{\kappa\piT}\ {\piA}&{\piG}&{\kappa\piC}&{*}\end{pmatrix}
If we express the branch length, ν in terms of the expected number of changes per site then:
\beta=
1 | |
2(\piA+\piG)(\piC+\piT)+2\kappa[(\piA\piG)+(\piC\piT)] |
PAA(\nu,\kappa,\pi)=\left[\piA\left(\piA+\piG+(\piC+
-\beta\nu | |
\pi | |
T)e |
\right)+\piG
-(1+(\piA+\piG)(\kappa-1.0))\beta\nu | |
e |
\right]/(\piA+\piG)
PAC(\nu,\kappa,\pi)=\piC\left(1.0-e-\beta\nu\right)
PAG(\nu,\kappa,\pi)=\left[\piG\left(\piA+\piG+(\piC+
-\beta\nu | |
\pi | |
T)e |
\right)-
-(1+(\piA+\piG)(\kappa-1.0))\beta\nu | |
\pi | |
Ge |
\right]/\left(\piA+\piG\right)
PAT(\nu,\kappa,\pi)=\piT\left(1.0-e-\beta\nu\right)
T92, the Tamura 1992 model,[15] is a mathematical method developed to estimate the number of nucleotide substitutions per site between two DNA sequences, by extending Kimura's (1980) two-parameter method to the case where a G+C content bias exists. This method will be useful when there are strong transition-transversion and G+C-content biases, as in the case of Drosophila mitochondrial DNA.[15]
T92 involves a single, compound base frequency parameter
\theta\in(0,1)
\piGC
=\piG+\piC=1-(\piA+\piT)
As T92 echoes the Chargaff's second parity rule — pairing nucleotides do have the same frequency on a single DNA strand, G and C on the one hand, and A and T on the other hand — it follows that the four base frequences can be expressed as a function of
\piGC
\piG=\piC={\piGC\over2}
\piA=\piT={(1-\piGC)\over2}
Rate matrix
Q=\begin{pmatrix}{*}&{\kappa\piGC/2}&{\piGC/2}&{(1-\piGC)/2}\\ {\kappa(1-\piGC)/2}&{*}&{\piGC/2}&{(1-\piGC)/2}\\ {(1-\piGC)/2}&{\piGC/2}&{*}&{\kappa(1-\piGC)/2}\\ {(1-\piGC)/2}&{\piGC/2}&{\kappa\piGC/2}&{*}\end{pmatrix}
The evolutionary distance between two DNA sequences according to this model is given by
d=-hln(1-{p\overh}-q)-{1\over2}(1-h)ln(1-2q)
h=2\theta(1-\theta)
\theta
\piGC=\piG+\piC
TN93, the Tamura and Nei 1993 model,[16] distinguishes between the two different types of transition; i.e. (
A\leftrightarrowG
C\leftrightarrowT
TN93 also allows unequal base frequencies (
\piA\ne\piG\ne\piC\ne\piT
Rate matrix
Q=\begin{pmatrix}{*}&{\kappa1\piG}&{\piC}&{\piT}\\ {\kappa1\piA}&{*}&{\piC}&{\piT}\\ {\piA}&{\piG}&{*}&{\kappa2\piT}\\ {\piA}&{\piG}&{\kappa2\piC}&{*}\end{pmatrix}
GTR, the Generalised time-reversible model of Tavaré 1986,[17] is the most general neutral, independent, finite-sites, time-reversible model possible. It was first described in a general form by Simon Tavaré in 1986.[17]
GTR parameters consist of an equilibrium base frequency vector,
\Pi=(\piA,\piG,\piC,\piT)
Q=\begin{pmatrix} {-(\alpha\piG+\beta\piC+\gamma\piT)}&{\alpha\piG}&{\beta\piC}&{\gamma\piT}\ {\alpha\piA}&{-(\alpha\piA+\delta\piC+\epsilon\piT)}&{\delta\piC}&{\epsilon\piT}\ {\beta\piA}&{\delta\piG}&{-(\beta\piA+\delta\piG+η\piT)}&{η\piT}\ {\gamma\piA}&{\epsilon\piG}&{η\piC}&{-(\gamma\piA+\epsilon\piG+η\piC)}\end{pmatrix}
Where
\begin{align} \alpha=r(A → G)=r(G → A)\\ \beta=r(A → C)=r(C → A)\\ \gamma=r(A → T)=r(T → A)\\ \delta=r(G → C)=r(C → G)\\ \epsilon=r(G → T)=r(T → G)\\ η=r(C → T)=r(T → C) \end{align}
are the transition rate parameters.
Therefore, GTR (for four characters, as is often the case in phylogenetics) requires 6 substitution rate parameters, as well as 4 equilibrium base frequency parameters. However, this is usually eliminated down to 9 parameters plus
\mu
\mu
In general, to compute the number of parameters, one must count the number of entries above the diagonal in the matrix, i.e. for n trait values per site
{{n2-n}\over2}
\mu
{{n2-n}\over2}+n-1={1\over2}n2+{1\over2}n-1.
For example, for an amino acid sequence (there are 20 "standard" amino acids that make up proteins), one would find there are 209 parameters. However, when studying coding regions of the genome, it is more common to work with a codon substitution model (a codon is three bases and codes for one amino acid in a protein). There are
43=64
{{20 x 19 x 3}\over2}+64-1=633