# Methods and AlgorithmsDescription of analysis methods and the algorithms involved

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Created 2012-12-18 21:35:34 | Updated 2013-01-26 05:10:36 | Tags: intro queue parallelism performance scatter-gather multithreading nct nt

This document explains the concepts involved and how they are applied within the GATK (and Queue where applicable). For specific configuration recommendations, see the companion document on parallelizing GATK tools.

### 1. Introducing the concept of parallelism

Parallelism is a way to make a program finish faster by performing several operations in parallel, rather than sequentially (i.e. waiting for each operation to finish before starting the next one).

Imagine you need to cook rice for sixty-four people, but your rice cooker can only make enough rice for four people at a time. If you have to cook all the batches of rice sequentially, it's going to take all night. But if you have eight rice cookers that you can use in parallel, you can finish up to eight times faster.

This is a very simple idea but it has a key requirement: you have to be able to break down the job into smaller tasks that can be done independently. It's easy enough to divide portions of rice because rice itself is a collection of discrete units. In contrast, let's look at a case where you can't make that kind of division: it takes one pregnant woman nine months to grow a baby, but you can't do it in one month by having nine women share the work.

The good news is that most GATK runs are more like rice than like babies. Because GATK tools are built to use the Map/Reduce method (see doc for details), most GATK runs essentially consist of a series of many small independent operations that can be parallelized.

Parallelism is a great way to speed up processing on large amounts of data, but it has "overhead" costs. Without getting too technical at this point, let's just say that parallelized jobs need to be managed, you have to set aside memory for them, regulate file access, collect results and so on. So it's important to balance the costs against the benefits, and avoid dividing the overall work into too many small jobs.

Going back to the introductory example, you wouldn't want to use a million tiny rice cookers that each boil a single grain of rice. They would take way too much space on your countertop, and the time it would take to distribute each grain then collect it when it's cooked would negate any benefits from parallelizing in the first place.

#### Parallel computing in practice (sort of)

OK, parallelism sounds great (despite the tradeoffs caveat), but how do we get from cooking rice to executing programs? What actually happens in the computer?

Consider that when you run a program like the GATK, you're just telling the computer to execute a set of instructions.

Let's say we have a text file and we want to count the number of lines in it. The set of instructions to do this can be as simple as:

• open the file, count the number of lines in the file, tell us the number, close the file

Note that tell us the number can mean writing it to the console, or storing it somewhere for use later on.

Now let's say we want to know the number of words on each line. The set of instructions would be:

• open the file, read the first line, count the number of words, tell us the number, read the second line, count the number of words, tell us the number, read the third line, count the number of words, tell us the number

And so on until we've read all the lines, and finally we can close the file. It's pretty straightforward, but if our file has a lot of lines, it will take a long time, and it will probably not use all the computing power we have available.

So to parallelize this program and save time, we just cut up this set of instructions into separate subsets like this:

• open the file, index the lines

• read the first line, count the number of words, tell us the number
• read the second line, count the number of words, tell us the number
• read the third line, count the number of words, tell us the number
• [repeat for all lines]

• collect final results and close the file

Here, the read the Nth line steps can be performed in parallel, because they are all independent operations.

You'll notice that we added a step, index the lines. That's a little bit of peliminary work that allows us to perform the read the Nth line steps in parallel (or in any order we want) because it tells us how many lines there are and where to find each one within the file. It makes the whole process much more efficient. As you may know, the GATK requires index files for the main data files (reference, BAMs and VCFs); the reason is essentially to have that indexing step already done.

Anyway, that's the general principle: you transform your linear set of instructions into several subsets of instructions. There's usually one subset that has to be run first and one that has to be run last, but all the subsets in the middle can be run at the same time (in parallel) or in whatever order you want.

### 2. Parallelizing the GATK

There are three different modes of parallelism offered by the GATK, and to really understand the difference you first need to understand what are the different levels of computing that are involved.

#### A quick word about levels of computing

By levels of computing, we mean the computing units in terms of hardware: the core, the machine (or CPU) and the cluster.

• Core: the level below the machine. On your laptop or desktop, the CPU (central processing unit, or processor) contains one or more cores. If you have a recent machine, your CPU probably has at least two cores, and is therefore called dual-core. If it has four, it's a quad-core, and so on. High-end consumer machines like the latest Mac Pro have up to twelve-core CPUs (which should be called dodeca-core if we follow the Latin terminology) but the CPUs on some professional-grade machines can have tens or hundreds of cores.

• Machine: the middle of the scale. For most of us, the machine is the laptop or desktop computer. Really we should refer to the CPU specifically, since that's the relevant part that does the processing, but the most common usage is to say machine. Except if the machine is part of a cluster, in which case it's called a node.

• Cluster: the level above the machine. This is a high-performance computing structure made of a bunch of machines (usually called nodes) networked together. If you have access to a cluster, chances are it either belongs to your institution, or your company is renting time on it. A cluster can also be called a server farm or a load-sharing facility.

Parallelism can be applied at all three of these levels, but in different ways of course, and under different names. Parallelism takes the name of multi-threading at the core and machine levels, and scatter-gather at the cluster level.

In computing, a thread of execution is a set of instructions that the program issues to the processor to get work done. In single-threading mode, a program only sends a single thread at a time to the processor and waits for it to be finished before sending another one. In multi-threading mode, the program may send several threads to the processor at the same time.

Not making sense? Let's go back to our earlier example, in which we wanted to count the number of words in each line of our text document. Hopefully it is clear that the first version of our little program (one long set of sequential instructions) is what you would run in single-threaded mode. And the second version (several subsets of instructions) is what you would run in multi-threaded mode, with each subset forming a separate thread. You would send out the first thread, which performs the preliminary work; then once it's done you would send the "middle" threads, which can be run in parallel; then finally once they're all done you would send out the final thread to clean up and collect final results.

If you're still having a hard time visualizing what the different threads are like, just imagine that you're doing cross-stitching. If you're a regular human, you're working with just one hand. You're pulling a needle and thread (a single thread!) through the canvas, making one stitch after another, one row after another. Now try to imagine an octopus doing cross-stitching. He can make several rows of stitches at the same time using a different needle and thread for each. Multi-threading in computers is surprisingly similar to that.

Hey, if you have a better example, let us know in the forum and we'll use that instead.

Alright, now that you understand the idea of multithreading, let's get practical: how do we do get the GATK to use multi-threading?

There are two options for multi-threading with the GATK, controlled by the arguments -nt and -nct, respectively. They can be combined, since they act at different levels of computing:

• -nt / --num_threads controls the number of data threads sent to the processor (acting at the machine level)

• -nct / --num_cpu_threads_per_data_thread controls the number of CPU threads allocated to each data thread (acting at the core level).

Not all GATK tools can use these options due to the nature of the analyses that they perform and how they traverse the data. Even in the case of tools that are used sequentially to perform a multi-step process, the individual tools may not support the same options. For example, at time of writing (Dec. 2012), of the tools involved in local realignment around indels, RealignerTargetCreator supports -nt but not -nct, while IndelRealigner does not support either of these options.

In addition, there are some important technical details that affect how these options can be used with optimal results. Those are explained along with specific recommendations for the main GATK tools in a companion document on parallelizing the GATK.

#### Scatter-gather

If you Google it, you'll find that the term scatter-gather can refer to a lot of different things, including strategies to get the best price quotes from online vendors, methods to control memory allocation and… an indie-rock band. What all of those things have in common (except possibly the band) is that they involve breaking up a task into smaller, parallelized tasks (scattering) then collecting and integrating the results (gathering). That should sound really familiar to you by now, since it's the general principle of parallel computing.

So yes, "scatter-gather" is really just another way to say we're parallelizing things. OK, but how is it different from multithreading, and why do we need yet another name?

As you know by now, multithreading specifically refers to what happens internally when the program (in our case, the GATK) sends several sets of instructions to the processor to achieve the instructions that you originally gave it in a single command-line. In contrast, the scatter-gather strategy as used by the GATK involves a separate program, called Queue, which generates separate GATK jobs (each with its own command-line) to achieve the instructions given in a so-called Qscript (i.e. a script written for Queue in a programming language called Scala).

At the simplest level, the Qscript can involve a single GATK tool*. In that case Queue will create separate GATK commands that will each run that tool on a portion of the input data (= the scatter step). The results of each run will be stored in temporary files. Then once all the runs are done, Queue will collate all the results into the final output files, as if the tool had been run as a single command (= the gather step).

Note that Queue has additional capabilities, such as managing the use of multiple GATK tools in a dependency-aware manner to run complex pipelines, but that is outside the scope of this article. To learn more about pipelining the GATK with Queue, please see the Queue documentation.

#### Compare and combine

So you see, scatter-gather is a very different process from multi-threading because the parallelization happens outside of the program itself. The big advantage is that this opens up the upper level of computing: the cluster level. Remember, the GATK program is limited to dispatching threads to the processor of the machine on which it is run – it cannot by itself send threads to a different machine. But Queue can dispatch scattered GATK jobs to different machines in a computing cluster by interfacing with your cluster's job management software.

That being said, multithreading has the great advantage that cores and machines all have access to shared machine memory with very high bandwidth capacity. In contrast, the multiple machines on a network used for scatter-gather are fundamentally limited by network costs.

The good news is that you can combine scatter-gather and multithreading: use Queue to scatter GATK jobs to different nodes on your cluster, then use the GATK's internal multithreading capabilities to parallelize the jobs running on each node.

Going back to the rice-cooking example, it's as if instead of cooking the rice yourself, you hired a catering company to do it for you. The company assigns the work to several people, who each have their own cooking station with multiple rice cookers. Now you can feed a lot more people in the same amount of time! And you don't even have to clean the dishes.

Created 2012-07-23 17:12:33 | Updated 2016-01-15 18:08:32 | Tags: bqsr baserecalibrator printreads baserecalibration

Detailed information about command line options for BaseRecalibrator can be found here.

## Introduction

The tools in this package recalibrate base quality scores of sequencing-by-synthesis reads in an aligned BAM file. After recalibration, the quality scores in the QUAL field in each read in the output BAM are more accurate in that the reported quality score is closer to its actual probability of mismatching the reference genome. Moreover, the recalibration tool attempts to correct for variation in quality with machine cycle and sequence context, and by doing so provides not only more accurate quality scores but also more widely dispersed ones. The system works on BAM files coming from many sequencing platforms: Illumina, SOLiD, 454, Complete Genomics, Pacific Biosciences, etc.

New with the release of the full version of GATK 2.0 is the ability to recalibrate not only the well-known base quality scores but also base insertion and base deletion quality scores. These are per-base quantities which estimate the probability that the next base in the read was mis-incorporated or mis-deleted (due to slippage, for example). We've found that these new quality scores are very valuable in indel calling algorithms. In particular these new probabilities fit very naturally as the gap penalties in an HMM-based indel calling algorithms. We suspect there are many other fantastic uses for these data.

This process is accomplished by analyzing the covariation among several features of a base. For example:

• Reported quality score
• The position within the read
• The preceding and current nucleotide (sequencing chemistry effect) observed by the sequencing machine

These covariates are then subsequently applied through a piecewise tabular correction to recalibrate the quality scores of all reads in a BAM file.

For example, pre-calibration a file could contain only reported Q25 bases, which seems good. However, it may be that these bases actually mismatch the reference at a 1 in 100 rate, so are actually Q20. These higher-than-empirical quality scores provide false confidence in the base calls. Moreover, as is common with sequencing-by-synthesis machine, base mismatches with the reference occur at the end of the reads more frequently than at the beginning. Also, mismatches are strongly associated with sequencing context, in that the dinucleotide AC is often much lower quality than TG. The recalibration tool will not only correct the average Q inaccuracy (shifting from Q25 to Q20) but identify subsets of high-quality bases by separating the low-quality end of read bases AC bases from the high-quality TG bases at the start of the read. See below for examples of pre and post corrected values.

The system was designed for (sophisticated) users to be able to easily add new covariates to the calculations. For users wishing to add their own covariate simply look at QualityScoreCovariate.java for an idea of how to implement the required interface. Each covariate is a Java class which implements the org.broadinstitute.sting.gatk.walkers.recalibration.Covariate interface. Specifically, the class needs to have a getValue method defined which looks at the read and associated sequence context and pulls out the desired information such as machine cycle.

## Running the tools

### BaseRecalibrator

Detailed information about command line options for BaseRecalibrator can be found here.

This GATK processing step walks over all of the reads in my_reads.bam and tabulates data about the following features of the bases:

• assigned quality score
• machine cycle producing this base
• current base + previous base (dinucleotide)

For each bin, we count the number of bases within the bin and how often such bases mismatch the reference base, excluding loci known to vary in the population, according to dbSNP. After running over all reads, BaseRecalibrator produces a file called my_reads.recal_data.grp, which contains the data needed to recalibrate reads. The format of this GATK report is described below.

### Creating a recalibrated BAM

To create a recalibrated BAM you can use GATK's PrintReads with the engine on-the-fly recalibration capability. Here is a typical command line to do so:


java -jar GenomeAnalysisTK.jar \
-R reference.fasta \
-I input.bam \
-BQSR recalibration_report.grp \
-o output.bam


After computing covariates in the initial BAM File, we then walk through the BAM file again and rewrite the quality scores (in the QUAL field) using the data in the recalibration_report.grp file, into a new BAM file.

This step uses the recalibration table data in recalibration_report.grp produced by BaseRecalibration to recalibrate the quality scores in input.bam, and writing out a new BAM file output.bam with recalibrated QUAL field values.

Effectively the new quality score is:

• the sum of the global difference between reported quality scores and the empirical quality
• plus the quality bin specific shift
• plus the cycle x qual and dinucleotide x qual effect

Following recalibration, the read quality scores are much closer to their empirical scores than before. This means they can be used in a statistically robust manner for downstream processing, such as SNP calling. In additional, by accounting for quality changes by cycle and sequence context, we can identify truly high quality bases in the reads, often finding a subset of bases that are Q30 even when no bases were originally labeled as such.

### Miscellaneous information

• The recalibration system is read-group aware. It separates the covariate data by read group in the recalibration_report.grp file (using @RG tags) and PrintReads will apply this data for each read group in the file. We routinely process BAM files with multiple read groups. Please note that the memory requirements scale linearly with the number of read groups in the file, so that files with many read groups could require a significant amount of RAM to store all of the covariate data.
• A critical determinant of the quality of the recalibation is the number of observed bases and mismatches in each bin. The system will not work well on a small number of aligned reads. We usually expect well in excess of 100M bases from a next-generation DNA sequencer per read group. 1B bases yields significantly better results.
• Unless your database of variation is so poor and/or variation so common in your organism that most of your mismatches are real snps, you should always perform recalibration on your bam file. For humans, with dbSNP and now 1000 Genomes available, almost all of the mismatches - even in cancer - will be errors, and an accurate error model (essential for downstream analysis) can be ascertained.
• The recalibrator applies a "yates" correction for low occupancy bins. Rather than inferring the true Q score from # mismatches / # bases we actually infer it from (# mismatches + 1) / (# bases + 2). This deals very nicely with overfitting problems, which has only a minor impact on data sets with billions of bases but is critical to avoid overconfidence in rare bins in sparse data.

## Example pre and post recalibration results

• Recalibration of a lane sequenced at the Broad by an Illumina GA-II in February 2010
• There is a significant improvement in the accuracy of the base quality scores after applying the GATK recalibration procedure

## The output of the BaseRecalibrator

• A Recalibration report containing all the recalibration information for the data

Note that the BasRecalibrator no longer produces plots; this is now done by the AnalyzeCovariates tool.

### The Recalibration Report

The recalibration report is a [GATKReport](http://gatk.vanillaforums.com/discussion/1244/what-is-a-gatkreport) and not only contains the main result of the analysis, but it is also used as an input to all subsequent analyses on the data. The recalibration report contains the following 5 tables:

• Arguments Table -- a table with all the arguments and its values
• Quantization Table
• Quality Score Table
• Covariates Table

#### Arguments Table

This is the table that contains all the arguments used to run BQSRv2 for this dataset. This is important for the on-the-fly recalibration step to use the same parameters used in the recalibration step (context sizes, covariates, ...).

Example Arguments table:


#:GATKTable:true:1:17::;
#:GATKTable:Arguments:Recalibration argument collection values used in this run
Argument                    Value
covariate                   null
default_platform            null
deletions_context_size      6
force_platform              null
insertions_context_size     6
...


#### Quantization Table

The GATK offers native support to quantize base qualities. The GATK quantization procedure uses a statistical approach to determine the best binning system that minimizes the error introduced by amalgamating the different qualities present in the specific dataset. When running BQSRv2, a table with the base counts for each base quality is generated and a 'default' quantization table is generated. This table is a required parameter for any other tool in the GATK if you want to quantize your quality scores.

The default behavior (currently) is to use no quantization when performing on-the-fly recalibration. You can override this by using the engine argument -qq. With -qq 0 you don't quantize qualities, or -qq N you recalculate the quantization bins using N bins on the fly. Note that quantization is completely experimental now and we do not recommend using it unless you are a super advanced user.

Example Arguments table:


#:GATKTable:true:2:94:::;
#:GATKTable:Quantized:Quality quantization map
QualityScore  Count        QuantizedScore
0                     252               0
1                   15972               1
2                  553525               2
3                 2190142               9
4                 5369681               9
9                83645762               9
...


This table contains the empirical quality scores for each read group, for mismatches insertions and deletions. This is not different from the table used in the old table recalibration walker.


#:GATKTable:false:6:18:%s:%s:%.4f:%.4f:%d:%d:;
#:GATKTable:RecalTable0:
ReadGroup  EventType  EmpiricalQuality  EstimatedQReported  Observations  Errors
SRR032768  D                   40.7476             45.0000    2642683174    222475
SRR032766  D                   40.9072             45.0000    2630282426    213441
SRR032764  D                   40.5931             45.0000    2919572148    254687
SRR032769  D                   40.7448             45.0000    2850110574    240094
SRR032767  D                   40.6820             45.0000    2820040026    241020
SRR032765  D                   40.9034             45.0000    2441035052    198258
SRR032766  M                   23.2573             23.7733    2630282426  12424434
SRR032768  M                   23.0281             23.5366    2642683174  13159514
SRR032769  M                   23.2608             23.6920    2850110574  13451898
SRR032764  M                   23.2302             23.6039    2919572148  13877177
SRR032765  M                   23.0271             23.5527    2441035052  12158144
SRR032767  M                   23.1195             23.5852    2820040026  13750197
SRR032766  I                   41.7198             45.0000    2630282426    177017
SRR032768  I                   41.5682             45.0000    2642683174    184172
SRR032769  I                   41.5828             45.0000    2850110574    197959
SRR032764  I                   41.2958             45.0000    2919572148    216637
SRR032765  I                   41.5546             45.0000    2441035052    170651
SRR032767  I                   41.5192             45.0000    2820040026    198762


#### Quality Score Table

This table contains the empirical quality scores for each read group and original quality score, for mismatches insertions and deletions. This is not different from the table used in the old table recalibration walker.


#:GATKTable:false:6:274:%s:%s:%s:%.4f:%d:%d:;
#:GATKTable:RecalTable1:
ReadGroup  QualityScore  EventType  EmpiricalQuality  Observations  Errors
SRR032767            49  M                   33.7794          9549        3
SRR032769            49  M                   36.9975          5008        0
SRR032764            49  M                   39.2490          8411        0
SRR032766            18  M                   17.7397      16330200   274803
SRR032768            18  M                   17.7922      17707920   294405
SRR032764            45  I                   41.2958    2919572148   216637
SRR032765             6  M                    6.0600       3401801   842765
SRR032769            45  I                   41.5828    2850110574   197959
SRR032764             6  M                    6.0751       4220451  1041946
SRR032767            45  I                   41.5192    2820040026   198762
SRR032769             6  M                    6.3481       5045533  1169748
SRR032768            16  M                   15.7681      12427549   329283
SRR032766            16  M                   15.8173      11799056   309110
SRR032764            16  M                   15.9033      13017244   334343
SRR032769            16  M                   15.8042      13817386   363078
...


#### Covariates Table

This table has the empirical qualities for each covariate used in the dataset. The default covariates are cycle and context. In the current implementation, context is of a fixed size (default 6). Each context and each cycle will have an entry on this table stratified by read group and original quality score.


#:GATKTable:false:8:1003738:%s:%s:%s:%s:%s:%.4f:%d:%d:;
#:GATKTable:RecalTable2:
ReadGroup  QualityScore  CovariateValue  CovariateName  EventType  EmpiricalQuality  Observations  Errors
SRR032767            16  TACGGA          Context        M                   14.2139           817      30
SRR032766            16  AACGGA          Context        M                   14.9938          1420      44
SRR032765            16  TACGGA          Context        M                   15.5145           711      19
SRR032768            16  AACGGA          Context        M                   15.0133          1585      49
SRR032764            16  TACGGA          Context        M                   14.5393           710      24
SRR032766            16  GACGGA          Context        M                   17.9746          1379      21
SRR032768            45  CACCTC          Context        I                   40.7907        575849      47
SRR032764            45  TACCTC          Context        I                   43.8286        507088      20
SRR032769            45  TACGGC          Context        D                   38.7536         37525       4
SRR032768            45  GACCTC          Context        I                   46.0724        445275      10
SRR032766            45  CACCTC          Context        I                   41.0696        575664      44
SRR032769            45  TACCTC          Context        I                   43.4821        490491      21
SRR032766            45  CACGGC          Context        D                   45.1471         65424       1
SRR032768            45  GACGGC          Context        D                   45.3980         34657       0
SRR032767            45  TACGGC          Context        D                   42.7663         37814       1
SRR032767            16  AACGGA          Context        M                   15.9371          1647      41
SRR032764            16  GACGGA          Context        M                   18.2642          1273      18
SRR032769            16  CACGGA          Context        M                   13.0801          1442      70
SRR032765            16  GACGGA          Context        M                   15.9934          1271      31
...


## Troubleshooting

The memory requirements of the recalibrator will vary based on the type of JVM running the application and the number of read groups in the input bam file.

If the application reports 'java.lang.OutOfMemoryError: Java heap space', increase the max heap size provided to the JVM by adding ' -Xmx????m' to the jvm_args variable in RecalQual.py, where '????' is the maximum available memory on the processing computer.

I've tried recalibrating my data using a downloaded file, such as NA12878 on 454, and apply the table to any of the chromosome BAM files always fails due to hitting my memory limit. I've tried giving it as much as 15GB but that still isn't enough.

All of our big merged files for 454 are running with -Xmx16000m arguments to the JVM -- it's enough to process all of the files. 32GB might make the 454 runs a lot faster though.

I have a recalibration file calculated over the entire genome (such as for the 1000 genomes trio) but I split my file into pieces (such as by chromosome). Can the recalibration tables safely be applied to the per chromosome BAM files?

Yes they can. The original tables needed to be calculated over the whole genome but they can be applied to each piece of the data set independently.

I'm working on a genome that doesn't really have a good SNP database yet. I'm wondering if it still makes sense to run base quality score recalibration without known SNPs.

The base quality score recalibrator treats every reference mismatch as indicative of machine error. True polymorphisms are legitimate mismatches to the reference and shouldn't be counted against the quality of a base. We use a database of known polymorphisms to skip over most polymorphic sites. Unfortunately without this information the data becomes almost completely unusable since the quality of the bases will be inferred to be much much lower than it actually is as a result of the reference-mismatching SNP sites.

However, all is not lost if you are willing to experiment a bit. You can bootstrap a database of known SNPs. Here's how it works:

• First do an initial round of SNP calling on your original, unrecalibrated data.
• Then take the SNPs that you have the highest confidence in and use that set as the database of known SNPs by feeding it as a VCF file to the base quality score recalibrator.
• Finally, do a real round of SNP calling with the recalibrated data. These steps could be repeated several times until convergence.

### Downsampling to reduce run time

For users concerned about run time please note this small analysis below showing the approximate number of reads per read group that are required to achieve a given level of recalibration performance. The analysis was performed with 51 base pair Illumina reads on pilot data from the 1000 Genomes Project. Downsampling can be achieved by specifying a genome interval using the -L option. For users concerned only with recalibration accuracy please disregard this plot and continue to use all available data when generating the recalibration table.

Created 2013-09-13 20:41:24 | Updated 2015-05-16 06:53:50 | Tags: best-practices dnaseq

This is our recommended workflow for calling variants in DNAseq data from cohorts of samples, in which steps from data processing up to variant calling are performed per-sample, and subsequent steps are performed jointly on all the individuals in the cohort.

The workflow is divided in three main sections that are meant to be performed sequentially:

• Variant discovery: from reads (BAM files) to variants (VCF files)
• Refinement and evaluation: genotype refinement, functional annotation and callset QC

### Pre-Processing

The data generated by the sequencers are put through some pre-processing steps to make it suitable for variant calling analysis. The steps involved are: Mapping and Marking Duplicates; Local Realignment Around Indels; and Base Quality Score Recalibration (BQSR); performed in that order.

#### Mapping and Marking Duplicates

The sequence reads are first mapped to the reference using BWA mem to produce a file in SAM/BAM format sorted by coordinate. The next step is to mark duplicates. The rationale here is that during the sequencing process, the same DNA molecules can be sequenced several times. The resulting duplicate reads are not informative and should not be counted as additional evidence for or against a putative variant. The duplicate marking process identifies these reads as such so that the GATK tools know they should ignore them.

#### Realignment Around Indels

Next, local realignment is performed around indels, because the algorithms that are used in the initial mapping step tend to produce various types of artifacts. For example, reads that align on the edges of indels often get mapped with mismatching bases that might look like evidence for SNPs, but are actually mapping artifacts. The realignment process identifies the most consistent placement of the reads relative to the indel in order to clean up these artifacts. It occurs in two steps: first the program identifies intervals that need to be realigned, then in the second step it determines the optimal consensus sequence and performs the actual realignment of reads.

#### Base Quality Score Recalibration

Finally, base quality scores are recalibrated, because the variant calling algorithms rely heavily on the quality scores assigned to the individual base calls in each sequence read. These scores are per-base estimates of error emitted by the sequencing machines. Unfortunately the scores produced by the machines are subject to various sources of systematic error, leading to over- or under-estimated base quality scores in the data. Base quality score recalibration is a process in which we apply machine learning to model these errors empirically and adjust the quality scores accordingly. This yields more accurate base qualities, which in turn improves the accuracy of the variant calls. The base recalibration process involves two key steps: first the program builds a model of covariation based on the data and a set of known variants, then it adjusts the base quality scores in the data based on the model.

### Variant Discovery

Once the data has been pre-processed as described above, it is put through the variant discovery process, i.e. the identification of sites where the data displays variation relative to the reference genome, and calculation of genotypes for each sample at that site. Because some of the variation observed is caused by mapping and sequencing artifacts, the greatest challenge here is to balance the need for sensitivity (to minimize false negatives, i.e. failing to identify real variants) vs. specificity (to minimize false positives, i.e. failing to reject artifacts). It is very difficult to reconcile these objectives in a single step, so instead the variant discovery process is decomposed into separate steps: variant calling (performed per-sample), joint genotyping (performed per-cohort) and variant filtering (also performed per-cohort). The first two steps are designed to maximize sensitivity, while the filtering step aims to deliver a level of specificity that can be customized for each project.

#### Per-Sample Variant Calling

We perform variant calling by running the HaplotypeCaller on each sample BAM file (if a sample's data is spread over more than one BAM, then pass them all in together) to create single-sample gVCFs. If there are more than a few hundred samples, we combine the gVCFs in batches of ~200 gVCFs using a specialized tool, CombineGVCFs. This will make the next step more tractable and reflects that the processing bottleneck lies with the number of input files and not the number of samples in those files.

#### Joint Genotyping

All available samples are then jointly genotyped by taking the gVCFs produced earlier and running GenotypeGVCFs on all of them together to create a set of raw SNP and indel calls. This cohort-wide analysis empowers sensitive detection of variants even at difficult sites.

#### Variant Quality Score Recalibration

Variant recalibration involves using a machine learning method to assign a well-calibrated probability to each variant call in a raw call set. We can then use this variant quality score in the second step to filter the raw call set, thus producing a subset of calls with our desired level of quality, fine-tuned to balance specificity and sensitivity.

### Refinement and evaluation

In this last section, we perform some refinement steps on the genotype calls (GQ estimation and transmission phasing), add functional annotations if desired, and do some quality evaluation by comparing the callset to known resources. None of these steps are absolutely required, and the workflow may need to be adapted quite a bit to each project's requirements.

Important note on GATK versions The [Best Practices](http://www.broadinstitute.org/gatk/guide/best-practices) have been updated for GATK version 3. If you are running an older version, you should seriously consider upgrading. For more details about what has changed in each version, please see the [Version History](http://www.broadinstitute.org/gatk/guide/version-history) section. If you cannot upgrade your version of GATK for any reason, please look up the corresponding version of the GuideBook PDF (also in the [Version History](http://www.broadinstitute.org/gatk/guide/version-history) section) to ensure that you are using the appropriate recommendations for your version.

Created 2014-04-16 22:09:49 | Updated 2015-05-16 06:58:15 | Tags: best-practices rnaseq

This is our recommended workflow for calling variants in RNAseq data from single samples, in which all steps are performed per-sample. In future we will provide cohort analysis recommendations, but these are not yet available.

The workflow is divided in three main sections that are meant to be performed sequentially:

• Variant discovery: from reads (BAM files) to variants (VCF files)
• Refinement and evaluation: genotype refinement, functional annotation and callset QC

Compared to the DNAseq Best Practices, the key adaptations for calling variants in RNAseq focus on handling splice junctions correctly, which involves specific mapping and pre-processing procedures, as well as some new functionality in the HaplotypeCaller, which are highlighted in the figure below.

### Pre-Processing

The data generated by the sequencers are put through some pre-processing steps to make it suitable for variant calling analysis. The steps involved are: Mapping and Marking Duplicates; Split'N'Trim; Local Realignment Around Indels (optional); and Base Quality Score Recalibration (BQSR); performed in that order.

#### Mapping and Marking Duplicates

The sequence reads are first mapped to the reference using STAR aligner (2-pass protocol) to produce a file in SAM/BAM format sorted by coordinate. The next step is to mark duplicates. The rationale here is that during the sequencing process, the same DNA molecules can be sequenced several times. The resulting duplicate reads are not informative and should not be counted as additional evidence for or against a putative variant. The duplicate marking process identifies these reads as such so that the GATK tools know they should ignore them.

#### Split'N'Trim

Then, an RNAseq-specific step is applied: reads with N operators in the CIGAR strings (which denote the presence of a splice junction) are split into component reads and trimmed to remove any overhangs into splice junctions, which reduces the occurrence of artifacts. At this step, we also reassign mapping qualities from 255 (assigned by STAR) to 60 which is more meaningful for GATK tools.

#### Realignment Around Indels

Next, local realignment is performed around indels, because the algorithms that are used in the initial mapping step tend to produce various types of artifacts. For example, reads that align on the edges of indels often get mapped with mismatching bases that might look like evidence for SNPs, but are actually mapping artifacts. The realignment process identifies the most consistent placement of the reads relative to the indel in order to clean up these artifacts. It occurs in two steps: first the program identifies intervals that need to be realigned, then in the second step it determines the optimal consensus sequence and performs the actual realignment of reads. This step is considered optional for RNAseq.

#### Base Quality Score Recalibration

Finally, base quality scores are recalibrated, because the variant calling algorithms rely heavily on the quality scores assigned to the individual base calls in each sequence read. These scores are per-base estimates of error emitted by the sequencing machines. Unfortunately the scores produced by the machines are subject to various sources of systematic error, leading to over- or under-estimated base quality scores in the data. Base quality score recalibration is a process in which we apply machine learning to model these errors empirically and adjust the quality scores accordingly. This yields more accurate base qualities, which in turn improves the accuracy of the variant calls. The base recalibration process involves two key steps: first the program builds a model of covariation based on the data and a set of known variants, then it adjusts the base quality scores in the data based on the model.

### Variant Discovery

Once the data has been pre-processed as described above, it is put through the variant discovery process, i.e. the identification of sites where the data displays variation relative to the reference genome, and calculation of genotypes for each sample at that site. Because some of the variation observed is caused by mapping and sequencing artifacts, the greatest challenge here is to balance the need for sensitivity (to minimize false negatives, i.e. failing to identify real variants) vs. specificity (to minimize false positives, i.e. failing to reject artifacts). It is very difficult to reconcile these objectives in a single step, so instead the variant discovery process is decomposed into separate steps: variant calling (performed per-sample) and variant filtering (also performed per-sample). The first step is designed to maximize sensitivity, while the filtering step aims to deliver a level of specificity that can be customized for each project.

Our current recommendation for RNAseq is to run all these steps per-sample. At the moment, we do not recommend applying the GVCF-based workflow to RNAseq data because although there is no obvious obstacle to doing so, we have not validated that configuration. Therefore, we cannot guarantee the quality of results that this would produce.

#### Per-Sample Variant Calling

We perform variant calling by running the HaplotypeCaller on each sample BAM file (if a sample's data is spread over more than one BAM, then pass them all in together) to create single-sample VCFs containing raw SNP and indel calls.

#### Per-Sample Variant Filtering

For RNAseq, it is not appropriate to apply variant recalibration in its present form. Instead, we provide hard-filtering recommendations to filter variants based on specific annotation value thresholds. This produces a VCF of calls annotated with fiiltering information that can then be used in downstream analyses.

### Refinement and evaluation

In this last section, we perform some refinement steps on the genotype calls (GQ estimation and transmission phasing), add functional annotations if desired, and do some quality evaluation by comparing the callset to known resources. None of these steps are absolutely required, and the workflow may need to be adapted quite a bit to each project's requirements.

Important note on GATK versions The [Best Practices](http://www.broadinstitute.org/gatk/guide/best-practices) have been updated for GATK version 3. If you are running an older version, you should seriously consider upgrading. For more details about what has changed in each version, please see the [Version History](http://www.broadinstitute.org/gatk/guide/version-history) section. If you cannot upgrade your version of GATK for any reason, please look up the corresponding version of the GuideBook PDF (also in the [Version History](http://www.broadinstitute.org/gatk/guide/version-history) section) to ensure that you are using the appropriate recommendations for your version.

Created 2014-03-06 07:15:51 | Updated 2015-12-07 11:08:30 | Tags: best-practices rnaseq

### Overview

This document describes the details of the GATK Best Practices workflow for SNP and indel calling on RNAseq data.

Please note that any command lines are only given as example of how the tools can be run. You should always make sure you understand what is being done at each step and whether the values are appropriate for your data. To that effect, you can find more guidance here.

In brief, the key modifications made to the DNAseq Best Practices focus on handling splice junctions correctly, which involves specific mapping and pre-processing procedures, as well as some new functionality in the HaplotypeCaller. Here is a detailed overview:

### Caveats

Please keep in mind that our DNA-focused Best Practices were developed over several years of thorough experimentation, and are continuously updated as new observations come to light and the analysis methods improve. We have been working with RNAseq for a somewhat shorter time, so there are many aspects that we still need to examine in more detail before we can be fully confident that we are doing the best possible thing.

We know that the current recommended pipeline is producing both false positives (wrong variant calls) and false negatives (missed variants) errors. While some of those errors are inevitable in any pipeline, others are errors that we can and will address in future versions of the pipeline. A few examples of such errors are given in this article as well as our ideas for fixing them in the future.

We will be improving these recommendations progressively as we go, and we hope that the research community will help us by providing feedback of their experiences applying our recommendations to their data.

### The workflow

#### 1. Mapping to the reference

The first major difference relative to the DNAseq Best Practices is the mapping step. For DNA-seq, we recommend BWA. For RNA-seq, we evaluated all the major software packages that are specialized in RNAseq alignment, and we found that we were able to achieve the highest sensitivity to both SNPs and, importantly, indels, using STAR aligner. Specifically, we use the STAR 2-pass method which was described in a recent publication (see page 43 of the Supplemental text of the Pär G Engström et al. paper referenced below for full protocol details -- we used the suggested protocol with the default parameters). In brief, in the STAR 2-pass approach, splice junctions detected in a first alignment run are used to guide the final alignment.

Here is a walkthrough of the STAR 2-pass alignment steps:

1) STAR uses genome index files that must be saved in unique directories. The human genome index was built from the FASTA file hg19.fa as follows:

genomeDir=/path/to/hg19
mkdir $genomeDir STAR --runMode genomeGenerate --genomeDir$genomeDir --genomeFastaFiles hg19.fa\  --runThreadN <n>

2) Alignment jobs were executed as follows:

runDir=/path/to/1pass
mkdir $runDir cd$runDir
STAR --genomeDir $genomeDir --readFilesIn mate1.fq mate2.fq --runThreadN <n> 3) For the 2-pass STAR, a new index is then created using splice junction information contained in the file SJ.out.tab from the first pass: genomeDir=/path/to/hg19_2pass mkdir$genomeDir
STAR --runMode genomeGenerate --genomeDir genomeDir --genomeFastaFiles hg19.fa \ --sjdbFileChrStartEnd /path/to/1pass/SJ.out.tab --sjdbOverhang 75 --runThreadN <n> 4) The resulting index is then used to produce the final alignments as follows: runDir=/path/to/2pass mkdirrunDir
cd $runDir STAR --genomeDir$genomeDir --readFilesIn mate1.fq mate2.fq --runThreadN <n>

The above step produces a SAM file, which we then put through the usual Picard processing steps: adding read group information, sorting, marking duplicates and indexing.

java -jar picard.jar AddOrReplaceReadGroups I=star_output.sam O=rg_added_sorted.bam SO=coordinate RGID=id RGLB=library RGPL=platform RGPU=machine RGSM=sample

java -jar picard.jar MarkDuplicates I=rg_added_sorted.bam O=dedupped.bam  CREATE_INDEX=true VALIDATION_STRINGENCY=SILENT M=output.metrics 

#### 3. Split'N'Trim and reassign mapping qualities

Next, we use a new GATK tool called SplitNCigarReads developed specially for RNAseq, which splits reads into exon segments (getting rid of Ns but maintaining grouping information) and hard-clip any sequences overhanging into the intronic regions.

In the future we plan to integrate this into the GATK engine so that it will be done automatically where appropriate, but for now it needs to be run as a separate step.

At this step we also add one important tweak: we need to reassign mapping qualities, because STAR assigns good alignments a MAPQ of 255 (which technically means “unknown” and is therefore meaningless to GATK). So we use the GATK’s ReassignOneMappingQuality read filter to reassign all good alignments to the default value of 60. This is not ideal, and we hope that in the future RNAseq mappers will emit meaningful quality scores, but in the meantime this is the best we can do. In practice we do this by adding the ReassignOneMappingQuality read filter to the splitter command.

Please note that we recently (6/11/14) edited this to fix a documentation error regarding the filter to use. See this announcement for details.

Finally, be sure to specify that reads with N cigars should be allowed. This is currently still classified as an "unsafe" option, but this classification will change to reflect the fact that this is now a supported option for RNAseq processing.

java -jar GenomeAnalysisTK.jar -T SplitNCigarReads -R ref.fasta -I dedupped.bam -o split.bam -rf ReassignOneMappingQuality -RMQF 255 -RMQT 60 -U ALLOW_N_CIGAR_READS

#### 4. Indel Realignment (optional)

After the splitting step, we resume our regularly scheduled programming... to some extent. We have found that performing realignment around indels can help rescue a few indels that would otherwise be missed, but to be honest the effect is marginal. So while it can’t hurt to do it, we only recommend performing the realignment step if you have compute and time to spare (or if it’s important not to miss any potential indels).

#### 5. Base Recalibration

We do recommend running base recalibration (BQSR). Even though the effect is also marginal when applied to good quality data, it can absolutely save your butt in cases where the qualities have systematic error modes.

Both steps 4 and 5 are run as described for DNAseq (with the same known sites resource files), without any special arguments. Finally, please note that you should NOT run ReduceReads on your RNAseq data. The ReduceReads tool will no longer be available in GATK 3.0.

#### 6. Variant calling

Finally, we have arrived at the variant calling step! Here, we recommend using HaplotypeCaller because it is performing much better in our hands than UnifiedGenotyper (our tests show that UG was able to call less than 50% of the true positive indels that HC calls). We have added some functionality to the variant calling code which will intelligently take into account the information about intron-exon split regions that is embedded in the BAM file by SplitNCigarReads. In brief, the new code will perform “dangling head merging” operations and avoid using soft-clipped bases (this is a temporary solution) as necessary to minimize false positive and false negative calls. To invoke this new functionality, just add -dontUseSoftClippedBases to your regular HC command line. Note that the -recoverDanglingHeads argument which was previously required is no longer necessary as that behavior is now enabled by default in HaplotypeCaller. Also, we found that we get better results if we lower the minimum phred-scaled confidence threshold for calling variants on RNAseq data, so we use a default of 20 (instead of 30 in DNA-seq data).

java -jar GenomeAnalysisTK.jar -T HaplotypeCaller -R ref.fasta -I input.bam -dontUseSoftClippedBases -stand_call_conf 20.0 -stand_emit_conf 20.0 -o output.vcf

#### 7. Variant filtering

To filter the resulting callset, you will need to apply hard filters, as we do not yet have the RNAseq training/truth resources that would be needed to run variant recalibration (VQSR).

We recommend that you filter clusters of at least 3 SNPs that are within a window of 35 bases between them by adding -window 35 -cluster 3 to your command. This filter recommendation is specific for RNA-seq data.

As in DNA-seq, we recommend filtering based on Fisher Strand values (FS > 30.0) and Qual By Depth values (QD < 2.0).

java -jar GenomeAnalysisTK.jar -T VariantFiltration -R hg_19.fasta -V input.vcf -window 35 -cluster 3 -filterName FS -filter "FS > 30.0" -filterName QD -filter "QD < 2.0" -o output.vcf 

Please note that we selected these hard filtering values in attempting to optimize both high sensitivity and specificity together. By applying the hard filters, some real sites will get filtered. This is a tradeoff that each analyst should consider based on his/her own project. If you care more about sensitivity and are willing to tolerate more false positives calls, you can choose not to filter at all (or to use less restrictive thresholds).

An example of filtered (SNPs cluster filter) and unfiltered false variant calls:

An example of true variants that were filtered (false negatives). As explained in text, there is a tradeoff that comes with applying filters:

### Known issues

There are a few known issues; one is that the allelic ratio is problematic. In many heterozygous sites, even if we can see in the RNAseq data both alleles that are present in the DNA, the ratio between the number of reads with the different alleles is far from 0.5, and thus the HaplotypeCaller (or any caller that expects a diploid genome) will miss that call. A DNA-aware mode of the caller might be able to fix such cases (which may be candidates also for downstream analysis of allele specific expression).

Although our new tool (splitNCigarReads) cleans many false positive calls that are caused by splicing inaccuracies by the aligners, we still call some false variants for that same reason, as can be seen in the example below. Some of those errors might be fixed in future versions of the pipeline with more sophisticated filters, with another realignment step in those regions, or by making the caller aware of splice positions.

As stated previously, we will continue to improve the tools and process over time. We have plans to improve the splitting/clipping functionalities, improve true positive and minimize false positive rates, as well as developing statistical filtering (i.e. variant recalibration) recommendations.

We also plan to add functionality to process DNAseq and RNAseq data from the same samples simultaneously, in order to facilitate analyses of post-transcriptional processes. Future extensions to the HaplotypeCaller will provide this functionality, which will require both DNAseq and RNAseq in order to produce the best results. Finally, we are also looking at solutions for measuring differential expression of alleles.

[1] Pär G Engström et al. “Systematic evaluation of spliced alignment programs for RNA-seq data”. Nature Methods, 2013

Created 2014-03-06 08:12:28 | Updated 2015-05-16 07:34:51 | Tags: best-practices joint-discovery reference-model

This document describes the new approach to joint variant discovery that is available in GATK versions 3.0 and above. For a more detailed discussion of why it's better to perform joint discovery, see this FAQ article. For more details on how this fits into the overall reads-to-variants analysis workflow, see the Best Practices workflows documentation.

### Overview

This is the workflow recommended in our Best Practices for performing variant discovery analysis on cohorts of samples.

In a nutshell, we now call variants individually on each sample using the HaplotypeCaller in -ERC GVCF mode, leveraging the previously introduced reference model to produce a comprehensive record of genotype likelihoods and annotations for each site in the genome (or exome), in the form of a gVCF file (genomic VCF).

In a second step, we then perform a joint genotyping analysis of the gVCFs produced for all samples in a cohort. This allows us to achieve the same results as joint calling in terms of accurate genotyping results, without the computational nightmare of exponential runtimes, and with the added flexibility of being able to re-run the population-level genotyping analysis at any time as the available cohort grows.

This is meant to replace the joint discovery workflow that we previously recommended, which involved calling variants jointly on multiple samples, with a much smarter approach that reduces computational burden and solves the "N+1 problem".

### Workflow details

This is a quick overview of how to apply the workflow in practice. For more details, see the Best Practices workflows documentation.

#### 1. Variant calling

Run the HaplotypeCaller on each sample's BAM file(s) (if a sample's data is spread over more than one BAM, then pass them all in together) to create single-sample gVCFs, with the option -emitRefConfidence GVCF, and using the .g.vcf extension for the output file.

Note that versions older than 3.4 require passing the options --variant_index_type LINEAR --variant_index_parameter 128000 to set the correct index strategy for the output gVCF.

#### 2. Optional data aggregation step

If you have more than a few hundred samples, run CombineGVCFs on batches of ~200 gVCFs to hierarchically merge them into a single gVCF. This will make the next step more tractable.

#### 3. Joint genotyping

Take the outputs from step 2 (or step 1 if dealing with fewer samples) and run GenotypeGVCFs on all of them together to create the raw SNP and indel VCFs that are usually emitted by the callers.

#### 4. Variant recalibration

Finally, resume the classic GATK Best Practices workflow by running VQSR on these "regular" VCFs according to our usual recommendations.

That's it! Fairly simple in practice, but we predict this is going to have a huge impact in how people perform variant discovery in large cohorts. We certainly hope it helps people deal with the challenges posed by ever-growing datasets.

As always, we look forward to comments and observations from the research community!

Created 2012-07-23 17:45:57 | Updated 2015-05-16 02:26:36 | Tags: combinevariants vcf callset

### Solutions for combining variant callsets depending on purpose

There are three main reasons why you might want to combine variants from different files into one, and the tool to use depends on what you are trying to achieve.

1. The most common case is when you have been parallelizing your variant calling analyses, e.g. running HaplotypeCaller per-chromosome, producing separate VCF files (or gVCF files) per-chromosome. For that case, you can use a tool called CatVariants to concatenate the files. There are a few important requirements (e.g. the files should contain all the same samples, and distinct intervals) which you can read about on the tool's documentation page.

2. The second case is when you have been using HaplotypeCaller in -ERC GVCF or -ERC BP_RESOLUTION to call variants on a large cohort, producing many gVCF files. We recommend combining the output gVCF in batches of e.g. 200 before putting them through joint genotyping with GenotypeGVCFs (for performance reasons), which you can do using CombineGVCFs, which is specific for handling gVCF files.

3. The third case is when you want to combine variant calls that were produced from the same samples but using different methods, for comparison. For example, if you're evaluating variant calls produced by different variant callers, different workflows, or the same but using different parameters. This produces separate callsets for the same samples, which are then easier to compare if you combine them into a single file. For that purpose, you can use CombineVariants, which is capable of merging VCF records intelligently, treating the same samples as separate or not as desired, combining annotations as appropriate. This is the case that requires the most preparation and forethought because there are many options that may be used to adapt the behavior of the tool.

There is also one reason you might want to combine variants from different files into one, that we do not recommend following. That is, if you have produced variant calls from various samples separately, and want to combine them for analysis. This is how people used to do variant analysis on large numbers of samples, but we don't recommend proceeding this way because that workflow suffers from serious methodological flaws. Instead, you should follow our recommendations as laid out in the Best Practices documentation.

### Merging records across VCFs with CombineVariants

Here we provide some more information and a worked out example to illustrate the third case because it is less straightforward than the other two.

A key point to understand is that CombineVariants will include a record at every site in all of your input VCF files, and annotate in which input callsets the record is present, pass, or filtered in in the set attribute in the INFO field (see below). In effect, CombineVariants always produces a union of the input VCFs. Any part of the Venn of the N merged VCFs can then be extracted specifically using JEXL expressions on the set attribute using SelectVariants. If you want to extract just the records in common between two VCFs, you would first CombineVariants the two files into a single VCF, and then run SelectVariants to extract the common records with -select 'set == "Intersection"', as worked out in the detailed example below.

#### Handling PASS/FAIL records at the same site in multiple input files

The -filteredRecordsMergeType argument determines how CombineVariants handles sites where a record is present in multiple VCFs, but it is filtered in some and unfiltered in others, as described in the tool documentation page linked above.

#### Understanding the set attribute

The set property of the INFO field indicates which call set the variant was found in. It can take on a variety of values indicating the exact nature of the overlap between the call sets. Note that the values are generalized for multi-way combinations, but here we describe only the values for 2 call sets being combined.

• set=Intersection : occurred in both call sets, not filtered out

• set=NAME : occurred in the call set NAME only

• set=NAME1-filteredInNAME : occurred in both call sets, but was not filtered in NAME1 but was filtered in NAME2

• set=filteredInAll : occurred in both call sets, but was filtered out of both

For three or more call sets combinations, you can see records like NAME1-NAME2 indicating a variant occurred in both NAME1 and NAME2 but not all sets.

You specify the NAME of a callset is by using the following syntax in your command line: -V:omni 1000G_omni2.5.b37.sites.vcf.

#### Emitting minimal VCF output

You can add the -minimalVCF argument to CombineVariants if you want to eliminate unnecessary information from the INFO field and genotypes. In that case, the only fields emitted will be GT:GQ for genotypes and the keySet for INFO.

An even more extreme output format is -sites_only (a general engine capability listed in the CommandLineGATK documentation) where the genotypes for all samples are completely stripped away from the output format. Enabling this option results in a significant performance speedup as well.

#### Requiring sites to be present in a minimum number of callsets

Sometimes you may want to combine several data sets but you only keep sites that are present in at least 2 of them. To do so, simply add the -minN (or --minimumN) command, followed by an integer if you want to only output records present in at least N input files. In our example, you would add -minN 2 to the command line.

#### Example: intersecting two VCFs

In the following example, we use CombineVariants and SelectVariants to obtain only the sites in common between the OMNI 2.5M and HapMap3 sites in the GSA bundle.

# combine the data
java -Xmx2g -jar dist/GenomeAnalysisTK.jar -T CombineVariants -R bundle/b37/human_g1k_v37.fasta -L 1:1-1,000,000 -V:omni bundle/b37/1000G_omni2.5.b37.sites.vcf -V:hm3 bundle/b37/hapmap_3.3.b37.sites.vcf -o union.vcf

# select the intersection
java -Xmx2g -jar dist/GenomeAnalysisTK.jar -T SelectVariants -R ~/Desktop/broadLocal/localData/human_g1k_v37.fasta -L 1:1-1,000,000 -V:variant union.vcf -select 'set == "Intersection";' -o intersect.vcf

This results in two vcf files, which look like:

# contents of union.vcf
1       990839  SNP1-980702     C       T       .       PASS    AC=150;AF=0.05384;AN=2786;CR=100.0;GentrainScore=0.7267;HW=0.0027632264;set=Intersection
1       990882  SNP1-980745     C       T       .       PASS    CR=99.79873;GentrainScore=0.7403;HW=0.005225421;set=omni
1       990984  SNP1-980847     G       A       .       PASS    CR=99.76005;GentrainScore=0.8406;HW=0.26163524;set=omni
1       992265  SNP1-982128     C       T       .       PASS    CR=100.0;GentrainScore=0.7412;HW=0.0025895447;set=omni
1       992819  SNP1-982682     G       A       .       id50    CR=99.72961;GentrainScore=0.8505;HW=4.811053E-17;set=FilteredInAll
1       993987  SNP1-983850     T       C       .       PASS    CR=99.85935;GentrainScore=0.8336;HW=9.959717E-28;set=omni
1       994391  rs2488991       G       T       .       PASS    AC=1936;AF=0.69341;AN=2792;CR=99.89378;GentrainScore=0.7330;HW=1.1741E-41;set=filterInomni-hm3
1       996184  SNP1-986047     G       A       .       PASS    CR=99.932205;GentrainScore=0.8216;HW=3.8830226E-6;set=omni
1       998395  rs7526076       A       G       .       PASS    AC=2234;AF=0.80187;AN=2786;CR=100.0;GentrainScore=0.8758;HW=0.67373306;set=Intersection
1       999649  SNP1-989512     G       A       .       PASS    CR=99.93262;GentrainScore=0.7965;HW=4.9767335E-4;set=omni

# contents of intersect.vcf
1       950243  SNP1-940106     A       C       .       PASS    AC=826;AF=0.29993;AN=2754;CR=97.341675;GentrainScore=0.7311;HW=0.15148845;set=Intersection
1       957640  rs6657048       C       T       .       PASS    AC=127;AF=0.04552;AN=2790;CR=99.86667;GentrainScore=0.6806;HW=2.286109E-4;set=Intersection
1       959842  rs2710888       C       T       .       PASS    AC=654;AF=0.23559;AN=2776;CR=99.849;GentrainScore=0.8072;HW=0.17526293;set=Intersection
1       977780  rs2710875       C       T       .       PASS    AC=1989;AF=0.71341;AN=2788;CR=99.89077;GentrainScore=0.7875;HW=2.9912625E-32;set=Intersection
1       985900  SNP1-975763     C       T       .       PASS    AC=182;AF=0.06528;AN=2788;CR=99.79926;GentrainScore=0.8374;HW=0.017794203;set=Intersection
1       987200  SNP1-977063     C       T       .       PASS    AC=1956;AF=0.70007;AN=2794;CR=99.45917;GentrainScore=0.7914;HW=1.413E-42;set=Intersection
1       987670  SNP1-977533     T       G       .       PASS    AC=2485;AF=0.89196;AN=2786;CR=99.51427;GentrainScore=0.7005;HW=0.24214932;set=Intersection
1       990417  rs2465136       T       C       .       PASS    AC=1113;AF=0.40007;AN=2782;CR=99.7599;GentrainScore=0.8750;HW=8.595538E-5;set=Intersection
1       990839  SNP1-980702     C       T       .       PASS    AC=150;AF=0.05384;AN=2786;CR=100.0;GentrainScore=0.7267;HW=0.0027632264;set=Intersection
1       998395  rs7526076       A       G       .       PASS    AC=2234;AF=0.80187;AN=2786;CR=100.0;GentrainScore=0.8758;HW=0.67373306;set=Intersection

Created 2015-10-21 15:23:10 | Updated 2016-03-07 17:40:56 | Tags: varianteval genotypeconcordance collectvariantcallingmetrics indel-ratio titv truthset

## Introduction

Running through the steps involved in variant discovery (calling variants, joint genotyping and applying filters) produces a variant callset in the form of a VCF file. So what’s next? Technically, that callset is ready to be used in downstream analysis. But before you do that, we recommend running some quality control analyses to evaluate how “good” that callset is.

To be frank, distinguishing between a “good” callset and a “bad” callset is a complex problem. If you knew the absolute truth of what variants are present or not in your samples, you probably wouldn’t be here running variant discovery on some high-throughput sequencing data. Your fresh new callset is your attempt to discover that truth. So how do you know how close you got?

### Methods for variant evaluation

There are several methods that you can apply which offer different insights into the probable biological truth, all with their own pros and cons. Possibly the most trusted method is Sanger sequencing of regions surrounding putative variants. However, it is also the least scalable as it would be prohibitively costly and time-consuming to apply to an entire callset. Typically, Sanger sequencing is only applied to validate candidate variants that are judged highly likely. Another popular method is to evaluate concordance against results obtained from a genotyping chip run on the same samples. This is much more scalable, and conveniently also doubles as a quality control method to detect sample swaps. Although it only covers the subset of known variants that the chip was designed for, this method can give you a pretty good indication of both sensitivity (ability to detect true variants) and specificity (not calling variants where there are none). This is something we do systematically for all samples in the Broad’s production pipelines.

The third method, presented here, is to evaluate how your variant callset stacks up against another variant callset (typically derived from other samples) that is considered to be a truth set (sometimes referred to as a gold standard -- these terms are very close and often used interchangeably). The general idea is that key properties of your callset (metrics discussed later in the text) should roughly match those of the truth set. This method is not meant to render any judgments about the veracity of individual variant calls; instead, it aims to estimate the overall quality of your callset and detect any red flags that might be indicative of error.

### Underlying assumptions and truthiness*: a note of caution

It should be immediately obvious that there are two important assumptions being made here: 1) that the content of the truth set has been validated somehow and is considered especially trustworthy; and 2) that your samples are expected to have similar genomic content as the population of samples that was used to produce the truth set. These assumptions are not always well-supported, depending on the truth set, your callset, and what they have (or don’t have) in common. You should always keep this in mind when choosing a truth set for your evaluation; it’s a jungle out there. Consider that if anyone can submit variants to a truth set’s database without a well-regulated validation process, and there is no process for removing variants if someone later finds they were wrong (I’m looking at you, dbSNP), you should be extra cautious in interpreting results. *With apologies to Stephen Colbert.

### Validation

So what constitutes validation? Well, the best validation is done with orthogonal methods, meaning that it is done with technology (wetware, hardware, software, etc.) that is not subject to the same error modes as the sequencing process. Calling variants with two callers that use similar algorithms? Great way to reinforce your biases. It won’t mean anything that both give the same results; they could both be making the same mistakes. On the wetlab side, Sanger and genotyping chips are great validation tools; the technology is pretty different, so they tend to make different mistakes. Therefore it means more if they agree or disagree with calls made from high-throughput sequencing.

### Matching populations

Regarding the population genomics aspect: it’s complicated -- especially if we’re talking about humans (I am). There’s a lot of interesting literature on this topic; for now let’s just summarize by saying that some important variant calling metrics vary depending on ethnicity. So if you are studying a population with a very specific ethnic composition, you should try to find a truth set composed of individuals with a similar ethnic background, and adjust your expectations accordingly for some metrics.

Similar principles apply to non-human genomic data, with important variations depending on whether you’re looking at wild or domesticated populations, natural or experimentally manipulated lineages, and so on. Unfortunately we can’t currently provide any detailed guidance on this topic, but hopefully this explanation of the logic and considerations involved will help you formulate a variant evaluation strategy that is appropriate for your organism of interest.

## Variant evaluation metrics

So let’s say you’ve got your fresh new callset and you’ve found an appropriate truth set. You’re ready to look at some metrics (but don’t worry yet about how; we’ll get to that soon enough). There are several metrics that we recommend examining in order to evaluate your data. The set described here should be considered a minimum and is by no means exclusive. It is nearly always better to evaluate more metrics if you possess the appropriate data to do so -- and as long as you understand why those additional metrics are meaningful. Please don’t try to use metrics that you don’t understand properly, because misunderstandings lead to confusion; confusion leads to worry; and worry leads to too many desperate posts on the GATK forum.

### Variant-level concordance and genotype concordance

The relationship between variant-level concordance and genotype concordance is illustrated in this figure.

• Genotype concordance is a similar metric but operates at the genotype level. It allows you to evaluate, within a set of variant calls that are present in both your sample callset and your truth set, what proportion of the genotype calls have been assigned correctly. This assumes that you are comparing your sample to a matched truth set derived from the same original sample.

### Number of Indels & SNPs and TiTv Ratio

These metrics are widely applicable. The table below summarizes their expected value ranges for Human Germline Data:

Sequencing Type # of Variants* TiTv Ratio
WGS ~4.4M 2.0-2.1
WES ~41k 3.0-3.3

*for a single sample

• Number of Indels & SNPs The number of variants detected in your sample(s) are counted separately as indels (insertions and deletions) and SNPs (Single Nucleotide Polymorphisms). Many factors can affect this statistic including whole exome (WES) versus whole genome (WGS) data, cohort size, strictness of filtering through the GATK pipeline, the ethnicity of your sample(s), and even algorithm improvement due to a software update. For reference, Nature's recently published 2015 paper in which various ethnicities in a moderately large cohort were analyzed for number of variants. As such, this metric alone is insufficient to confirm data validity, but it can raise warning flags when something went extremely wrong: e.g. 1000 variants in a large cohort WGS data set, or 4 billion variants in a ten-sample whole-exome set.

• TiTv Ratio This metric is the ratio of transition (Ti) to transversion (Tv) SNPs. If the distribution of transition and transversion mutations were random (i.e. without any biological influence) we would expect a ratio of 0.5. This is simply due to the fact that there are twice as many possible transversion mutations than there are transitions. However, in the biological context, it is very common to see a methylated cytosine undergo deamination to become thymine. As this is a transition mutation, it has been shown to increase the expected random ratio from 0.5 to ~2.01. Furthermore, CpG islands, usually found in primer regions, have higher concentrations of methylcytosines. By including these regions, whole exome sequencing shows an even stronger lean towards transition mutations, with an expected ratio of 3.0-3.3. A significant deviation from the expected values could indicate artifactual variants causing bias. If your TiTv Ratio is too low, your callset likely has more false positives.
It should also be noted that the TiTv ratio from exome-sequenced data will vary from the expected value based upon the length of flanking sequences. When we analyze exome sequence data, we add some padding (usually 100 bases) around the targeted regions (using the -ip engine argument) because this improves calling of variants that are at the edges of exons (whether inside the exon sequence or in the promoter/regulatory sequence before the exon). These flanking sequences are not subject to the same evolutionary pressures as the exons themselves, so the number of transition and transversion mutants lean away from the expected ratio. The amount of "lean" depends on how long the flanking sequence is.

### Ratio of Insertions to Deletions (Indel Ratio)

This metric is generally evaluated after filtering for purposes that are specific to your study, and the expected value range depends on whether you're looking for rare or common variants, as summarized in the table below.

Filtering for Indel Ratio
common ~1
rare 0.2-0.5

A significant deviation from the expected ratios listed in the table above could indicate a bias resulting from artifactual variants.

## Tools for performing variant evaluation

### VariantEval

This is the GATK’s main tool for variant evaluation. It is designed to collect and calculate a variety of callset metrics that are organized in evaluation modules, which are listed in the tool doc. For each evaluation module that is enabled, the tool will produce a table containing the corresponding callset metrics based on the specified inputs (your callset of interest and one or more truth sets). By default, VariantEval will run with a specific subset of the available modules (listed below), but all evaluation modules can be enabled or disabled from the command line. We recommend setting the tool to produce only the metrics that you are interested in, because each active module adds to the computational requirements and overall runtime of the tool.

It should be noted that all module calculations only include variants that passed filtering (i.e. FILTER column in your vcf file should read PASS); variants tagged as filtered out will be ignored. It is not possible to modify this behavior. See the example analysis for more details on how to use this tool and interpret its output.

### GenotypeConcordance

This tool calculates -- you’ve guessed it -- the genotype concordance between callsets. In earlier versions of GATK, GenotypeConcordance was itself a module within VariantEval. It was converted into a standalone tool to enable more complex genotype concordance calculations.

### Picard tools

The Picard toolkit includes two tools that perform similar functions to VariantEval and GenotypeConcordance, respectively called CollectVariantCallingMetrics and GenotypeConcordance. Both are relatively lightweight in comparison to their GATK equivalents; their functionalities are more limited, but they do run quite a bit faster. See the example analysis of CollectVariantCallingMetrics for details on its use and data interpretation. Note that in the coming months, the Picard tools are going to be integrated into the next major version of GATK, so at that occasion we plan to consolidate these two pairs of homologous tools to eliminate redundancy.

### Which tool should I use?

We recommend Picard's version of each tool for most cases. The GenotypeConcordance tools provide mostly the same information, but Picard's version is preferred by Broadies. Both VariantEval and CollectVariantCallingMetrics produce similar metrics, however the latter runs faster and is scales better for larger cohorts. By default, CollectVariantCallingMetrics stratifies by sample, allowing you to see the value of relevant statistics as they pertain to specific samples in your cohort. It includes all metrics discussed here, as well as a few more. On the other hand, VariantEval provides many more metrics beyond the minimum described here for analysis. It should be noted that none of these tools use phasing to determine metrics.

So when should I use CollectVariantCallingMetrics?

• If you have a very large callset
• If you want to look at the metrics discussed here and not much else
• If you want your analysis back quickly

When should I use VariantEval?

• When you require a more detailed analysis of your callset
• If you need to stratify your callset by another factor (allele frequency, indel size, etc.)
• If you need to compare to multiple truth sets at the same time

Created 2014-10-17 21:35:05 | Updated 2015-07-22 17:16:09 | Tags: pedigree priors genotype-refinement posteriors mendelianviolations

### Overview

This document describes the purpose and general principles of the Genotype Refinement workflow. For the mathematical details of the methods involved, please see the Genotype Refinement math documentation. For step-by-step instructions on how to apply this workflow to your data, please see the Genotype Refinement tutorial.

## 1. Introduction

The core GATK Best Practices workflow has historically focused on variant discovery --that is, the existence of genomic variants in one or more samples in a cohorts-- and consistently delivers high quality results when applied appropriately. However, we know that the quality of the individual genotype calls coming out of the variant callers can vary widely based on the quality of the BAM data for each sample. The goal of the Genotype Refinement workflow is to use additional data to improve the accuracy of genotype calls and to filter genotype calls that are not reliable enough for downstream analysis. In this sense it serves as an optional extension of the variant calling workflow, intended for researchers whose work requires high-quality identification of individual genotypes.

A few commonly asked questions are:

### What studies can benefit from the Genotype Refinement workflow?

While every study can benefit from increased data accuracy, this workflow is especially useful for analyses that are concerned with how many copies of each variant an individual has (e.g. in the case of loss of function) or with the transmission (or de novo origin) of a variant in a family.

### What additional data do I need to run the Genotype Refinement workflow?

If a “gold standard” dataset for SNPs is available, that can be used as a very powerful set of priors on the genotype likelihoods in your data. For analyses involving families, a pedigree file describing the relatedness of the trios in your study will provide another source of supplemental information. If neither of these applies to your data, the samples in the dataset itself can provide some degree of genotype refinement (see section 5 below for details).

### Is the Genotype Refinement workflow going to change my data? Can I still use my old analysis pipeline?

After running the Genotype Refinement workflow, several new annotations will be added to the INFO and FORMAT fields of your variants (see below), GQ fields will be updated, and genotype calls may be modified. However, the Phred-scaled genotype likelihoods (PLs) which indicate the original genotype call (the genotype candidate with PL=0) will remain untouched. Any analysis that made use of the PLs will produce the same results as before.

## 2. The Genotype Refinement workflow

### Input

Begin with recalibrated variants from VQSR at the end of the best practices pipeline. The filters applied by VQSR will be carried through the Genotype Refinement workflow.

### Step 1: Derive posterior probabilities of genotypes

#### Tool used: CalculateGenotypePosteriors

Using the Phred-scaled genotype likelihoods (PLs) for each sample, prior probabilities for a sample taking on a HomRef, Het, or HomVar genotype are applied to derive the posterior probabilities of the sample taking on each of those genotypes. A sample’s PLs were calculated by HaplotypeCaller using only the reads for that sample. By introducing additional data like the allele counts from the 1000 Genomes project and the PLs for other individuals in the sample’s pedigree trio, those estimates of genotype likelihood can be improved based on what is known about the variation of other individuals.

SNP calls from the 1000 Genomes project capture the vast majority of variation across most human populations and can provide very strong priors in many cases. At sites where most of the 1000 Genomes samples are homozygous variant with respect to the reference genome, the probability of a sample being analyzed of also being homozygous variant is very high.

For a sample for which both parent genotypes are available, the child’s genotype can be supported or invalidated by the parents’ genotypes based on Mendel’s laws of allele transmission. Even the confidence of the parents’ genotypes can be recalibrated, such as in cases where the genotypes output by HaplotypeCaller are apparent Mendelian violations.

### Step 2: Filter low quality genotypes

#### Tool used: VariantFiltration

After the posterior probabilities are calculated for each sample at each variant site, genotypes with GQ < 20 based on the posteriors are filtered out. GQ20 is widely accepted as a good threshold for genotype accuracy, indicating that there is a 99% chance that the genotype in question is correct. Tagging those low quality genotypes indicates to researchers that these genotypes may not be suitable for downstream analysis. However, as with the VQSR, a filter tag is applied, but the data is not removed from the VCF.

### Step 3: Annotate possible de novo mutations

#### Tool used: VariantAnnotator

Using the posterior genotype probabilities, possible de novo mutations are tagged. Low confidence de novos have child GQ >= 10 and AC < 4 or AF < 0.1%, whichever is more stringent for the number of samples in the dataset. High confidence de novo sites have all trio sample GQs >= 20 with the same AC/AF criterion.

### Step 4: Functional annotation of possible biological effects

#### Tool options: SnpEff or Oncotator (both are non-GATK tools)

Especially in the case of de novo mutation detection, analysis can benefit from the functional annotation of variants to restrict variants to exons and surrounding regulatory regions. The GATK currently does not feature integration with any functional annotation tool, but SnpEff and Oncotator are useful utilities that can work with the GATK's VCF output.

## 3. Output annotations

The Genotype Refinement Pipeline adds several new info- and format-level annotations to each variant. GQ fields will be updated, and genotypes calculated to be highly likely to be incorrect will be changed. The Phred-scaled genotype likelihoods (PLs) carry through the pipeline without being changed. In this way, PLs can be used to derive the original genotypes in cases where sample genotypes were changed.

### Population Priors

New INFO field annotation PG is a vector of the Phred-scaled prior probabilities of a sample at that site being HomRef, Het, and HomVar. These priors are based on the input samples themselves along with data from the supporting samples if the variant in question overlaps another in the supporting dataset.

### Phred-Scaled Posterior Probability

New FORMAT field annotation PP is the Phred-scaled posterior probability of the sample taking on each genotype for the given variant context alleles. The PPs represent a better calibrated estimate of genotype probabilities than the PLs are recommended for use in further analyses instead of the PLs.

### Genotype Quality

Current FORMAT field annotation GQ is updated based on the PPs. The calculation is the same as for GQ based on PLs.

### Joint Trio Likelihood

New FORMAT field annotation JL is the Phred-scaled joint likelihood of the posterior genotypes for the trio being incorrect. This calculation is based on the PLs produced by HaplotypeCaller (before application of priors), but the genotypes used come from the posteriors. The goal of this annotation is to be used in combination with JP to evaluate the improvement in the overall confidence in the trio’s genotypes after applying CalculateGenotypePosteriors. The calculation of the joint likelihood is given as:

$$-10\log ( 1-GL_{mother}[\text{Posterior mother GT}] GL{father}[\text{Posterior father GT}] * GL{child}[\text{Posterior child GT}] )$$

where the GLs are the genotype likelihoods in [0, 1] probability space.

### Joint Trio Posterior

New FORMAT field annotation JP is the Phred-scaled posterior probability of the output posterior genotypes for the three samples being incorrect. The calculation of the joint posterior is given as:

$$-10\log (1-GP_{mother}[\text{Posterior mother GT}] GP{father}[\text{Posterior father GT}] * GP{child}[\text{Posterior child GT}] )$$

where the GPs are the genotype posteriors in [0, 1] probability space.

### Low Genotype Quality

New FORMAT field filter lowGQ indicates samples with posterior GQ less than 20. Filtered samples tagged with lowGQ are not recommended for use in downstream analyses.

### High and Low Confidence De Novo

New INFO field annotation for sites at which at least one family has a possible de novo mutation. Following the annotation tag is a list of the children with de novo mutations. High and low confidence are output separately.

## 4. Example

Before:

1       1226231 rs13306638      G       A       167563.16       PASS    AC=2;AF=0.333;AN=6;…        GT:AD:DP:GQ:PL  0/0:11,0:11:0:0,0,249   0/0:10,0:10:24:0,24,360 1/1:0,18:18:60:889,60,0

After:

1       1226231 rs13306638      G       A       167563.16       PASS    AC=3;AF=0.500;AN=6;…PG=0,8,22;…    GT:AD:DP:GQ:JL:JP:PL:PP 0/1:11,0:11:49:2:24:0,0,249:49,0,287    0/0:10,0:10:32:2:24:0,24,360:0,32,439   1/1:0,18:18:43:2:24:889,60,0:867,43,0

The original call for the child (first sample) was HomRef with GQ0. However, given that, with high confidence, one parent is HomRef and one is HomVar, we expect the child to be heterozygous at this site. After family priors are applied, the child’s genotype is corrected and its GQ is increased from 0 to 49. Based on the allele frequency from 1000 Genomes for this site, the somewhat weaker population priors favor a HomRef call (PG=0,8,22). The combined effect of family and population priors still favors a Het call for the child.

The joint likelihood for this trio at this site is two, indicating that the genotype for one of the samples may have been changed. Specifically a low JL indicates that posterior genotype for at least one of the samples was not the most likely as predicted by the PLs. The joint posterior value for the trio is 24, which indicates that the GQ values based on the posteriors for all of the samples are at least 24. (See above for a more complete description of JL and JP.)

The Genotype Refinement Pipeline uses Bayes’s Rule to combine independent data with the genotype likelihoods derived from HaplotypeCaller, producing more accurate and confident genotype posterior probabilities. Different sites will have different combinations of priors applied based on the overlap of each site with external, supporting SNP calls and on the availability of genotype calls for the samples in each trio.

### Input-derived Population Priors

If the input VCF contains at least 10 samples, then population priors will be calculated based on the discovered allele count for every called variant.

### Supporting Population Priors

Priors derived from supporting SNP calls can only be applied at sites where the supporting calls overlap with called variants in the input VCF. The values of these priors vary based on the called reference and alternate allele counts in the supporting VCF. Higher allele counts (for ref or alt) yield stronger priors.

### Family Priors

The strongest family priors occur at sites where the called trio genotype configuration is a Mendelian violation. In such a case, each Mendelian violation configuration is penalized by a de novo mutation probability (currently 10-6). Confidence also propagates through a trio. For example, two GQ60 HomRef parents can substantially boost a low GQ HomRef child and a GQ60 HomRef child and parent can improve the GQ of the second parent. Application of family priors requires the child to be called at the site in question. If one parent has a no-call genotype, priors can still be applied, but the potential for confidence improvement is not as great as in the 3-sample case.

### Caveats

Right now family priors can only be applied to biallelic variants and population priors can only be applied to SNPs. Family priors only work for trios.

Created 2014-10-17 22:02:22 | Updated 2014-10-22 16:18:43 | Tags: math genotype-refinement

### Overview

This document describes the mathematical details of the methods involved in the Genotype Refinement workflow. For an explanation of the purpose and general principles involved in this workflow, please see the main Genotype Refinement workflow article. For step-by-step instructions on how to apply this workflow to your data, please see the Genotype Refinement tutorial.

## 1. Review of Bayes’s Rule

HaplotypeCaller outputs the likelihoods of observing the read data given that the genotype is actually HomRef, Het, and HomVar. To convert these quantities to the probability of the genotype given the read data, we can use Bayes’s Rule. Bayes’s Rule dictates that the probability of a parameter given observed data is equal to the likelihood of the observations given the parameter multiplied by the prior probability that the parameter takes on the value of interest, normalized by the prior times likelihood for all parameter values:

$$P(\theta|Obs) = \frac{P(Obs|\theta)P(\theta)}{\sum_{\theta} P(Obs|\theta)P(\theta)}$$

In the best practices pipeline, we interpret the genotype likelihoods as probabilities by implicitly converting the genotype likelihoods to genotype probabilities using non-informative or flat priors, for which each genotype has the same prior probability. However, in the Genotype Refinement Pipeline we use independent data such as the genotypes of the other samples in the dataset, the genotypes in a “gold standard” dataset, or the genotypes of the other samples in a family to construct more informative priors and derive better posterior probability estimates.

## 2. Calculation of Population Priors

Given a set of samples in addition to the sample of interest (ideally non-related, but from the same ethnic population), we can derive the prior probability of the genotype of the sample of interest by modeling the sample’s alleles as two independent draws from a pool consisting of the set of all the supplemental samples’ alleles. (This follows rather naturally from the Hardy-Weinberg assumptions.) Specifically, this prior probability will take the form of a multinomial Dirichlet distribution parameterized by the allele counts of each allele in the supplemental population. In the biallelic case the priors can be calculated as follows:

$$P(GT = HomRef) = \dbinom{2}{0} \ln \frac{\Gamma(nSamples)\Gamma(RefCount + 2)}{\Gamma(nSamples + 2)\Gamma(RefCount)}$$

$$P(GT = Het) = \dbinom{2}{1} \ln \frac{\Gamma(nSamples)\Gamma(RefCount + 1)\Gamma(AltCount + 1)}{\Gamma(nSamples + 2)\Gamma(RefCount)\Gamma(AltCount)}$$

$$P(GT = HomVar) = \dbinom{2}{2} \ln \frac{\Gamma(nSamples)\Gamma(AltCount + 2)}{\Gamma(nSamples + 2)\Gamma(AltCount)}$$

where Γ is the Gamma function, an extension of the factorial function.

The prior genotype probabilities based on this distribution scale intuitively with number of samples. For example, a set of 10 samples, 9 of which are HomRef yield a prior probability of another sample being HomRef with about 90% probability whereas a set of 50 samples, 49 of which are HomRef yield a 97% probability of another sample being HomRef.

## 3. Calculation of Family Priors

Given a genotype configuration for a given mother, father, and child trio, we set the prior probability of that genotype configuration as follows:

$$P(G_M,G_F,G_C) = P(\vec{G}) \cases{ 1-10\mu-2\mu^2 & no MV \cr \mu & 1 MV \cr \mu^2 & 2 MVs}$$

where the 10 configurations with a single Mendelian violation are penalized by the de novo mutation probability μ and the two configurations with two Mendelian violations by μ^2. The remaining configurations are considered valid and are assigned the remaining probability to sum to one.

This prior is applied to the joint genotype combination of the three samples in the trio. To find the posterior for any single sample, we marginalize over the remaining two samples as shown in the example below to find the posterior probability of the child having a HomRef genotype:

$$P(G_C = HomRef | \vec{D}) = \frac{L_C(GC = HomRef) \sum{G_F,G_M} L_F(G_F)L_M(GM)P(\vec{G})}{\sum{\vec{H}}P(\vec{D}|\vec{H})P(\vec{H})}$$

This quantity P(Gc|D) is calculated for each genotype, then the resulting vector is Phred-scaled and output as the Phred-scaled posterior probabilities (PPs).

## 4. Order of the workflow

Family priors are calculated and applied before population priors. The opposite ordering results in overly strong population priors because they are applied to the child and parents and then compounded when the trio likelihoods are multiplied together.

Created 2014-05-08 23:10:42 | Updated 2014-09-09 22:06:15 | Tags: haplotypecaller

This document describes the methods involved in variant calling as performed by the HaplotypeCaller. Please note that we are still working on producing supporting figures to help explain the sometimes complex operations involved.

### Overview

The core operations performed by HaplotypeCaller can be grouped into these major steps:

1. Define active regions. The program determines which regions of the genome it needs to operate on, based on the presence of significant evidence for variation.

2. Determine haplotypes by re-assembly of the active region. For each ActiveRegion, the program builds a De Bruijn-like graph to reassemble the ActiveRegion and identifies what are the possible haplotypes present in the data. The program then realigns each haplotype against the reference haplotype using the Smith-Waterman algorithm in order to identify potentially variant sites.

3. Determine likelihoods of the haplotypes given the read data. For each ActiveRegion, the program performs a pairwise alignment of each read against each haplotype using the PairHMM algorithm. This produces a matrix of likelihoods of haplotypes given the read data. These likelihoods are then marginalized to obtain the likelihoods of alleles per read for each potentially variant site.

4. Assign sample genotypes. For each potentially variant site, the program applies Bayes’ rule, using the likelihoods of alleles given the read data to calculate the posterior likelihoods of each genotype per sample given the read data observed for that sample. The most likely genotype is then assigned to the sample.

### 1. Define active regions

In this first step, the program traverses the sequencing data to identify regions of the genomes in which the samples being analyzed show substantial evidence of variation relative to the reference. The resulting areas are defined as “active regions”, and will be passed on to the next step. Areas that do not show any variation beyond the expected levels of background noise will be skipped in the next step. This aims to accelerate the analysis by not wasting time performing reassembly on regions that are identical to the reference anyway.

To define these active regions, the program operates in three phases. First, it computes an activity score for each individual genome position, yielding the raw activity profile, which is a wave function of activity per position. Then, it applies a smoothing algorithm to the raw profile, which is essentially a sort of averaging process, to yield the actual activity profile. Finally, it identifies local maxima where the activity profile curve rises above the preset activity threshold, and defines appropriate intervals to encompass the active profile within the preset size constraints. For more details on how the activity profile is computed and processed, as well as what options are available to modify the active region parameters, please see this method article.

Note that the process for determining active region intervals is modified slightly when HaplotypeCaller is run in one of the special modes, e.g. the reference confidence mode (-ERC GVCF or ERC BP_RESOLUTION), Genotype Given Alleles (-gt_mode GENOTYPE_GIVEN_ALLELES) or when active regions are triggered using advanced arguments such as -allelesTrigger, --forceActive or --activeRegionIn. This is covered in the method article referenced above.

Once this process is complete, the program applies a few post-processing steps to finalize the the active regions (see detailed doc above). The final output of this process is a list of intervals corresponding to the active regions which will be processed in the next step.

### 2. Determine haplotypes by re-assembly of the active region.

The goal of this step is to reconstruct the possible sequences of the real physical segments of DNA present in the original sample organism. To do this, the program goes through each active region and uses the input reads that mapped to that region to construct complete sequences covering its entire length, which are called haplotypes. This process will typically generate several different possible haplotypes for each active region due to:

• real diversity on polyploid (including CNV) or multi-sample data
• possible allele combinations between variant sites that are not totally linked within the active region
• sequencing and mapping errors

In order to generate a list of possible haplotypes, the program first builds an assembly graph for the active region using the reference sequence as a template. Then, it takes each read in turn and attempts to match it to a segment of the graph. Whenever portions of a read do not match the local graph, the program adds new nodes to the graph to account for the mismatches. After this process has been repeated with many reads, it typically yields a complex graph with many possible paths. However, because the program keeps track of how many reads support each path segment, we can select only the most likely (well-supported) paths. These likely paths are then used to build the haplotype sequences which will be used for scoring and genotyping in the next step.

The assembly and haplotype determination procedure is described in full detail in this method article.

Once the haplotypes have been determined, each one is realigned against the original reference sequence in order to identify potentially variant sites. This produces the set of sites that will be processed in the next step. A subset of these sites will eventually be emitted as variant calls to the output VCF.

### 3. Evaluating the evidence for haplotypes and variant alleles

Now that we have all these candidate haplotypes, we need to evaluate how much evidence there is in the data to support each one of them. So the program takes each individual read and aligns it against each haplotype in turn (including the reference haplotype) using the PairHMM algorithm, which takes into account the information we have about the quality of the data (i.e. the base quality scores and indel quality scores). This outputs a score for each read-haplotype pairing, expressing the likelihood of observing that read given that haplotype.

Those scores are then used to calculate out how much evidence there is for individual alleles at the candidate sites that were identified in the previous step. The process is called marginalization over alleles and produces the actual numbers that will finally be used to assign a genotype to the sample in the next step.

For further details on the pairHMM output and the marginalization process, see this document.

### 4. Assigning per-sample genotypes

The previous step produced a table of per-read allele likelihoods for each candidate variant site under consideration. Now, all that remains to do is to evaluate those likelihoods in aggregate to determine what is the most likely genotype of the sample at each site. This is done by applying Bayes' theorem to calculate the likelihoods of each possible genotype, and selecting the most likely. This produces a genotype call as well as the calculation of various metrics that will be annotated in the output VCF if a variant call is emitted.

For further details on the genotyping calculations, see this document.

This concludes the overview of how HaplotypeCaller works.

Created 2014-05-08 22:56:18 | Updated 2014-12-08 21:48:32 | Tags: haplotypecaller active-regions entropy

This document describes the procedure used by HaplotypeCaller to define ActiveRegions on which to operate as a prelude to variant calling. For more context information on how this fits into the overall HaplotypeCaller method, please see the more general HaplotypeCaller documentation.

### Summary

To define active regions, the HaplotypeCaller operates in three phases. First, it computes an activity score for each individual genome position, yielding the raw activity profile, which is a wave function of activity per position. Then, it applies a smoothing algorithm to the raw profile, which is essentially a sort of averaging process, to yield the actual activity profile. Finally, it identifies local maxima where the activity profile curve rises above the preset activity threshold, and defines appropriate intervals to encompass the active profile within the preset size constraints.

### 1. Calculating the raw activity profile

Active regions are determined by calculating a profile function that characterizes “interesting” regions likely to contain variants. The raw profile is first calculated locus by locus.

In the normal case (no special mode is enabled) the per-position score is the probability that the position contains a variant as calculated using the reference-confidence model applied to the original alignment.

If using the mode for genotyping given alleles (GGA) or the advanced-level flag -useAlleleTrigger, and the site is overlapped by an allele in the VCF file provided through the -alleles argument, the score is set to 1. If the position is not covered by a provided allele, the score is set to 0.

This operation gives us a single raw value for each position on the genome (or within the analysis intervals requested using the -L argument).

### 2. Smoothing the activity profile

The final profile is calculated by smoothing this initial raw profile following three steps. The first two steps consist in spreading individual position raw profile values to contiguous bases. As a result each position will have more than one raw profile value that are added up in the third and last step to obtain a final unique and smoothed value per position.

1. Unless one of the special modes is enabled (GGA or allele triggering), the position profile value will be copied over to adjacent regions if enough high quality soft-clipped bases immediately precede or follow that position in the original alignment. At time of writing, high-quality soft-clipped bases are those with quality score of Q29 or more. We consider that there are enough of such a soft-clips when the average number of high quality bases per soft-clip is 7 or more. In this case the site profile value is copied to all bases within a radius of that position as large as the average soft-clip length without exceeding a maximum of 50bp.

2. Each profile value is then divided and spread out using a Gaussian kernel covering up to 50bp radius centered at its current position with a standard deviation, or sigma, set using the -bandPassSigma argument (current default is 17 bp). The larger the sigma, the broader the spread will be.

3. For each position, the final smoothed value is calculated as the sum of all its profile values after steps 1 and 2.

### 3. Setting the ActiveRegion thresholds and intervals

The resulting profile line is cut in regions where it crosses the non-active to active threshold (currently set to 0.002). Then we make some adjustments to these boundaries so that those regions that are to be considered active, with a profile running over that threshold, fall within the minimum (fixed to 50bp) and maximum region size (customizable using -activeRegionMaxSize).

• If the region size falls within the limits we leave it untouched (it's good to go).

• If the region size is shorter than the minimum, it is greedily extended forward ignoring that cut point and we come back to step 1. Only if this is not possible because we hit a hard-limit (end of the chromosome or requested analysis interval) we will accept the small region as it is.

• If it is too long, we find the lowest local minimum between the maximum and minimum region size. A local minimum is a profile value preceded by a large one right up-stream (-1bp) and an equal or larger value down-stream (+1bp). In case of a tie, the one further downstream takes precedence. If there is no local minimum we simply force the cut so that the region has the maximum active region size.

Of the resulting regions, those with a profile that runs over this threshold are considered active regions and progress to variant discovery and or calling whereas regions whose profile runs under the threshold are considered inactive regions and are discarded except if we are running HC in reference confidence mode.

There is a final post-processing step to clean up and trim the ActiveRegion:

• Remove bases at each end of the read (hard-clipping) until there a base with a call quality equal or greater than minimum base quality score (customizable parameter -mbq, 10 by default).

• Include or exclude remaining soft-clipped ends. Soft clipped ends will be used for assembly and calling unless the user has requested their exclusion (using -dontUseSoftClippedBases), if the read and its mate map to the same chromosome, and if they are in the correct standard orientation (i.e. LR and RL).

• Discard all reads that no longer overlap with the ActiveRegion after the trimming operations described above.

• Downsample remaining reads to a maximum of 1000 reads per sample, but respecting a minimum of 5 reads starting per position. This is performed after any downsampling by the traversal itself (-dt, -dfrac, -dcov etc.) and cannot be overriden from the command line.

Created 2014-05-08 22:09:16 | Updated 2015-05-16 04:53:11 | Tags: haplotypecaller haplotypescore assembly haplotype

This document details the procedure used by HaplotypeCaller to re-assemble read data and determine candidate haplotypes as a prelude to variant calling. For more context information on how this fits into the overall HaplotypeCaller method, please see the more general HaplotypeCaller documentation.

Note that we are still working on producing figures to complement the text. We will update this document as soon as the figures are ready. Note also that this is a provisional document and some final corrections may be made for accuracy and/or completeness. Feedback is most welcome!

### Overview

The previous step produced a list of ActiveRegions that showed some evidence of possible variation (see step 1 documentation). Now, we need to process each Active Region in order to generate a list of possible haplotypes based on the sequence data we have for that region.

To do so, the program first builds an assembly graph for each active region (determined in the previous step) using the reference sequence as a template. Then, it takes each read in turn and attempts to match it to a segment of the graph. Whenever portions of a read do not match the local graph, the program adds new nodes to the graph to account for the mismatches. After this process has been repeated with many reads, it typically yields a complex graph with many possible paths. However, because the program keeps track of how many reads support each path segment, we can select only the most likely (well-supported) paths. These likely paths are then used to build the haplotype sequences which will be used to call variants and assign per-sample genotypes in the next steps.

### 1. Reference graph assembly

First, we construct the reference assembly graph, which starts out as a simple directed DeBruijn graph. This involves decomposing the reference sequence into a succession of kmers (pronounced "kay-mers"), which are small sequence subunits that are k bases long. Each kmer sequence overlaps the previous kmer by k-1 bases. The resulting graph can be represented as a series of nodes and connecting edges indicating the sequential relationship between the adjacent bases. At this point, all the connecting edges have a weight of 0.

In addition to the graph, we also build a hash table of unique kmers, which we use to keep track of the position of nodes in the graph. At the beginning, the hash table only contains unique kmers found in the reference sequence, but we will add to it in the next step.

A note about kmer size: by default, the program will attempt to build two separate graphs, using kmers of 10 and 25 bases in size, respectively, but other kmer sizes can be specified from the command line with the -kmerSize argument. The final set of haplotypes will be selected from the union of the graphs obtained using each k.

This is where our simple reference graph turns into a read-threading graph, so-called because we're going to take each read in turn and try to match it to a path in the graph.

We start with the first read and compare its first kmer to the hash table to find if it has a match. If there is a match, we look up its position in the reference graph and record that position. If there is no match, we consider that it is a new unique kmer, so we add that unique kmer to the hash table and add a new node to the graph. In both cases, we then move on and repeat the process with the next kmer in the read until we reach the end of the read.

When two consecutive kmers in a read belong to two nodes that were already connected by an edge in the graph, we increase the weight of that edge by 1. If the two nodes were not connected yet, we add a new edge to the graph with a starting weight of 1. As we repeat the process on each read in turn, edge weights will accumulate along the paths that are best supported by the read data, which will help us select the most likely paths later on.

Note on graph complexity, cycles and non-unique kmers

For this process to work properly, we need the graph to be sufficiently complex (where the number of non-unique k-mers is less that 4-fold the number of unique kmers found in the data) and without cycles. In certain genomic regions where there are a lot of repeated sequences, these conditions may not be met, because repeats cause cycles and diminish the number of available unique kmers. If none of the kmer sizes provided results in a viable graph (complex enough and without cycles) the program will automatically try the operation again with larger kmer sizes. Specifically, we take the largest k provided by the user (or by the default settings) and increase it by 10 bases. If no viable graph can be obtained after iterating over increased kmer sizes 6 times, we give up and skip the active region entirely.

### 3. Graph refinement

Once all the reads have been threaded through the graph, we need to clean it up a little. The main cleaning-up operation is called pruning (like the gardening technique). The goal of the pruning operation is to remove noise due to errors. The basic idea is that sections of the graph that are supported by very few reads are most probably the result of stochastic errors, so we are going to remove any sections that are supported by fewer than a certain threshold number of reads. By default the threshold value is 2, but this can be controlled from the command line using the -minPruning argument. In practice, this means that linear chains in the graph (linear sequence of vertices and edges without any branching) where all edges have fewer than 2 supporting reads will be removed. Increasing the threshold value will lead to faster processing and higher specificity, but will decrease sensitivity. Decreasing this value will do the opposite, decreasing specificity but increasing sensitivity.

At this stage, the program also performs graph refinement operations, such as recovering dangling heads and tails from the splice junctions to compensate for issues that are related to limitations in graph assembly.

Note that if you are calling multiple samples together, the program also looks at how many of the samples support each segment, and only prunes segments for which fewer than a certain number of samples have the minimum required number of supporting reads. By default this sample number is 1, so as long as one sample in the cohort passes the pruning threshold, the segment will NOT be pruned. This is designed to avoid losing singletons (variants that are unique to a single sample in a cohort). This parameter can also be controlled from the command line using the -minPruningSamples argument, but keep in mind that increasing the default value may lead to decreased sensitivity.

### 4. Select best haplotypes

Now that the graph is all cleaned up, the program builds haplotype sequences by traversing all possible paths in the graph and calculates a likelihood score for each one. This score is calculated as the product of transition probabilities of the path edges, where the transition probability of an edge is computed as the number of reads supporting that edge divided by the sum of the support of all edges that share that same source vertex.

In order to limit the amount of computation needed for the next step, we limit the number of haplotypes that will be considered for each value of k (remember that the program builds graphs for multiple kmer sizes). This is easy to do since we conveniently have scores for each haplotype; all we need to do is select the N haplotypes with the best scores. By default that number is very generously set to 128 (so the program would proceed to the next step with up to 128 haplotypes per value of k) but this can be adjusted from the command line using the -maxNumHaplotypesInPopulation argument. You would mainly want to decrease this number in order to improve speed; increasing that number would rarely be reasonable, if ever.

### 5. Identify potential variation sites

Once we have a list of plausible haplotypes, we perform a Smith-Waterman alignment (SWA) of each haplotype to the original reference sequence across the active region in order to reconstruct a CIGAR string for the haplotype. Note that indels will be left-aligned; that is, their start position will be set as the leftmost position possible.

This finally yields the potential variation sites that will be put through the variant modeling step next, bringing us back to the "classic" variant calling methods (as used by GATK's UnifiedGenotyper and Samtools' mpileup). Note that this list of candidate sites is essentially a super-set of what will eventually be the final set of called variants. Every site that will be called variant is in the super-set, but not every site that is in the super-set will be called variant.

Created 2014-07-23 17:36:49 | Updated 2015-09-14 13:43:25 | Tags: haplotypecaller likelihoods haplotype hc

This document describes the procedure used by HaplotypeCaller to evaluate the evidence for variant alleles based on candidate haplotypes determined in the previous step for a given ActiveRegion. For more context information on how this fits into the overall HaplotypeCaller method, please see the more general HaplotypeCaller documentation.

### Overview

The previous step produced a list of candidate haplotypes for each ActiveRegion, as well as a list of candidate variant sites borne by the non-reference haplotypes. Now, we need to evaluate how much evidence there is in the data to support each haplotype. This is done by aligning each sequence read to each haplotype using the PairHMM algorithm, which produces per-read likelihoods for each haplotype. From that, we'll be able to derive how much evidence there is in the data to support each variant allele at the candidate sites, and that produces the actual numbers that will finally be used to assign a genotype to the sample.

### 1. Evaluating the evidence for each candidate haplotype

We originally obtained our list of haplotypes for the ActiveRegion by constructing an assembly graph and selecting the most likely paths in the graph by counting the number of supporting reads for each path. That was a fairly naive evaluation of the evidence, done over all reads in aggregate, and was only meant to serve as a preliminary filter to whittle down the number of possible combinations that we're going to look at in this next step.

Now we want to do a much more thorough evaluation of how much evidence we have for each haplotype. So we're going to take each individual read and align it against each haplotype in turn (including the reference haplotype) using the PairHMM algorithm (see Durbin et al., 1998). If you're not familiar with PairHMM, it's a lot like the BLAST algorithm, in that it's a pairwise alignment method that uses a Hidden Markov Model (HMM) and produces a likelihood score. In this use of the PairHMM, the output score expresses the likelihood of observing the read given the haplotype by taking into account the information we have about the quality of the data (i.e. the base quality scores and indel quality scores). Note: If reads from a pair overlap at a site and they have the same base, the base quality is capped at Q20 for both reads (Q20 is half the expected PCR error rate). If they do not agree, we set both base qualities to Q0.

This produces a big table of likelihoods where the columns are haplotypes and the rows are individual sequence reads. (example figure TBD)

The table essentially represents how much supporting evidence there is for each haplotype (including the reference), itemized by read.

### 2. Evaluating the evidence for each candidate site and corresponding alleles

Having per-read likelihoods for entire haplotypes is great, but ultimately we want to know how much evidence there is for individual alleles at the candidate sites that we identified in the previous step. To find out, we take the per-read likelihoods of the haplotypes and marginalize them over alleles, which produces per-read likelihoods for each allele at a given site. In practice, this means that for each candidate site, we're going to decide how much support each read contributes for each allele, based on the per-read haplotype likelihoods that were produced by the PairHMM.

This may sound complicated, but the procedure is actually very simple -- there is no real calculation involved, just cherry-picking appropriate values from the table of per-read likelihoods of haplotypes into a new table that will contain per-read likelihoods of alleles. This is how it happens. For a given site, we list all the alleles observed in the data (including the reference allele). Then, for each read, we look at the haplotypes that support each allele; we select the haplotype that has the highest likelihood for that read, and we write that likelihood in the new table. And that's it! For a given allele, the total likelihood will be the product of all the per-read likelihoods. (example fig TBD)

At the end of this step, sites where there is sufficient evidence for at least one of the variant alleles considered will be called variant, and a genotype will be assigned to the sample in the next (final) step.

Created 2014-07-23 17:38:17 | Updated 2016-04-23 00:08:57 | Tags: haplotypecaller genotype likelihoods genotyping

This document describes the procedure used by HaplotypeCaller to assign genotypes to individual samples based on the allele likelihoods calculated in the previous step. For more context information on how this fits into the overall HaplotypeCaller method, please see the more general HaplotypeCaller documentation. See also the documentation on the QUAL score as well as PL and GQ.

Note that this describes the regular mode of HaplotypeCaller, which does not emit an estimate of reference confidence. For details on how the reference confidence model works and is applied in -ERC modes (GVCF and BP_RESOLUTION) please see the reference confidence model documentation.

### Overview

The previous step produced a table of per-read allele likelihoods for each candidate variant site under consideration. Now, all that remains to do is to evaluate those likelihoods in aggregate to determine what is the most likely genotype of the sample at each site. This is done by applying Bayes' theorem to calculate the likelihoods of each possible genotype, and selecting the most likely. This produces a genotype call as well as the calculation of various metrics that will be annotated in the output VCF if a variant call is emitted.

### 1. Preliminary assumptions / limitations

#### Quality

Keep in mind that we are trying to infer the genotype of each sample given the observed sequence data, so the degree of confidence we can have in a genotype depends on both the quality and the quantity of the available data. By definition, low coverage and low quality will both lead to lower confidence calls. The GATK only uses reads that satisfy certain mapping quality thresholds, and only uses “good” bases that satisfy certain base quality thresholds (see documentation for default values).

#### Ploidy

Both the HaplotypeCaller and GenotypeGVCFs (but not UnifiedGenotyper) assume that the organism of study is diploid by default, but desired ploidy can be set using the -ploidy argument. The ploidy is taken into account in the mathematical development of the Bayesian calculation. The generalized form of the genotyping algorithm that can handle ploidies other than 2 is available as of version 3.3-0. Note that using ploidy for pooled experiments is subject to some practical limitations due to the number of possible combinations resulting from the interaction between ploidy and the number of alternate alleles that are considered (currently, the maximum "workable" ploidy is ~20 for a max number of alt alleles = 6). Future developments will aim to mitigate those limitations.

Reads that are mates in the same pair are not handled together in the reassembly, but if they overlap, there is some special handling to ensure they are not counted as independent observations.

#### Single-sample vs multi-sample

We apply different genotyping models when genotyping a single sample as opposed to multiple samples together (as done by HaplotypeCaller on multiple inputs or GenotypeGVCFs on multiple GVCFs). The multi-sample case is not currently documented for the public but is an extension of previous work by Heng Li and others.

### 2. Calculating genotype likelihoods using Bayes' Theorem

We use the approach described in Li 2011 to calculate the posterior probabilities of non-reference alleles (Methods 2.3.5 and 2.3.6) extended to handle multi-allelic variation.

The basic formula we use for all types of variation under consideration (SNPs, insertions and deletions) is:

$$P(G|D) = \frac{ P(G) P(D|G) }{ \sum_{i} P(G_i) P(D|G_i) }$$

If that is meaningless to you, please don't freak out -- we're going to break it down and go through all the components one by one. First of all, the term on the left:

$$P(G|D)$$

is the quantity we are trying to calculate for each possible genotype: the conditional probability of the genotype G given the observed data D.

Now let's break down the term on the right:

$$\frac{ P(G) P(D|G) }{ \sum_{i} P(G_i) P(D|G_i) }$$

We can ignore the denominator (bottom of the fraction) because it ends up being the same for all the genotypes, and the point of calculating this likelihood is to determine the most likely genotype. The important part is the numerator (top of the fraction):

$$P(G) P(D|G)$$

which is composed of two things: the prior probability of the genotype and the conditional probability of the data given the genotype.

The first one is the easiest to understand. The prior probability of the genotype G:

$$P(G)$$

represents how probably we expect to see this genotype based on previous observations, studies of the population, and so on. By default, the GATK tools use a flat prior (always the same value) but you can input your own set of priors if you have information about the frequency of certain genotypes in the population you're studying.

The second one is a little trickier to understand if you're not familiar with Bayesian statistics. It is called the conditional probability of the data given the genotype, but what does that mean? Assuming that the genotype G is the true genotype,

$$P(D|G)$$

is the probability of observing the sequence data that we have in hand. That is, how likely would we be to pull out a read with a particular sequence from an individual that has this particular genotype? We don't have that number yet, so this requires a little more calculation, using the following formula:

$$P(D|G) = \prod{j} \left( \frac{P(D_j | H_1)}{2} + \frac{P(D_j | H_2)}{2} \right)$$

You'll notice that this is where the diploid assumption comes into play, since here we decomposed the genotype G into:

$$G = H_1H_2$$

which allows for exactly two possible haplotypes. In future versions we'll have a generalized form of this that will allow for any number of haplotypes.

Now, back to our calculation, what's left to figure out is this:

$$P(D_j|H_n)$$

which as it turns out is the conditional probability of the data given a particular haplotype (or specifically, a particular allele), aggregated over all supporting reads. Conveniently, that is exactly what we calculated in Step 3 of the HaplotypeCaller process, when we used the PairHMM to produce the likelihoods of each read against each haplotype, and then marginalized them to find the likelihoods of each read for each allele under consideration. So all we have to do at this point is plug the values from that table into the equation above, and we can work our way back up to obtain:

$$P(G|D)$$

for the genotype G.

### 3. Selecting a genotype and emitting the call record

We go through the process of calculating a likelihood for each possible genotype based on the alleles that were observed at the site, considering every possible combination of alleles. For example, if we see an A and a T at a site, the possible genotypes are AA, AT and TT, and we end up with 3 corresponding probabilities. We pick the largest one, which corresponds to the most likely genotype, and assign that to the sample.

Note that depending on the variant calling options specified in the command-line, we may only emit records for actual variant sites (where at least one sample has a genotype other than homozygous-reference) or we may also emit records for reference sites. The latter is discussed in the reference confidence model documentation.

Assuming that we have a non-ref genotype, all that remains is to calculate the various site-level and genotype-level metrics that will be emitted as annotations in the variant record, including QUAL as well as PL and GQ -- see the linked docs for details. For more information on how the other variant context metrics are calculated, please see the corresponding variant annotations documentation.

Created 2014-04-10 21:57:10 | Updated 2015-02-20 18:10:09 | Tags: haplotypecaller reference-model gvcf

This document describes the reference confidence model applied by HaplotypeCaller to generate genomic VCFs (gVCFS), invoked by -ERC GVCF or -ERC BP_RESOLUTION (see the FAQ on gVCFs for format details).

Please note that this document may be expanded with more detailed information in the near future.

### How it works

The mode works by assembling the reads to create potential haplotypes, realigning the reads to their most likely haplotypes, and then projecting these reads back onto the reference sequence via their haplotypes to compute alignments of the reads to the reference. For each position in the genome we have either an ALT call (via the standard calling mechanism) or we can estimate the chance that some (unknown) non-reference allele is segregating at this position by examining the realigned reads that span the reference base. At this base we perform two calculations:

• Estimate the confidence that no SNP exists at the site by contrasting all reads with the ref base vs all reads with any non-reference base.
• Estimate the confidence that no indel of size < X (determined by command line parameter) could exist at this site by calculating the number of reads that provide evidence against such an indel, and from this value estimate the chance that we would not have seen the allele confidently.

Based on this, we emit the genotype likelihoods (PL) and compute the GQ (from the PLs) for the least confidence of these two models.

We use a symbolic allele pair, <NON_REF>, to indicate that the site is not homozygous reference, and because we have an ALT allele we can provide allele-specific AD and PL field values.

For details of the gVCF format, please see the document that explains what is a gVCF.

Created 2014-04-16 21:58:52 | Updated 2016-01-27 05:21:52 | Tags: best-practices gatk3

The "GATK Best Practices" are workflow descriptions that provide step-by-step recommendations for getting the best analysis results possible out of high-throughput sequencing data. At present, we provide the following Best Practice workflows:

These recommendations have been developed by the GATK development team over years of analysis work on many of the Broad Institute's sequencing projects, and are applied in the Broad's production pipelines. As a general rule, the command-line arguments and parameters given in the documentation examples are meant to be broadly applicable.

#### Important notes on context and caveats

Our testing focuses largely on data from human whole-genome or whole-exome samples sequenced with Illumina technology, so if you are working with different types of data or experimental designs, you may need to adapt certain branches of the workflow, as well as certain parameter selections and values. Unfortunately we are not able to provide official recommendations on how to deal with very different experimental designs or divergent datatypes (such as Ion Torrent).

In addition, the illustrations and tutorials provided in these pages tend to assume a simple experimental design where each sample is used to produce one DNA library that is sequenced separately on one lane of the machine. See the Guide for help dealing with other experimental designs.

Finally, please be aware that several key steps in the Best Practices workflow make use of existing resources such as known variants, which are readily available for humans (we provide several useful resource datasets for download from our FTP server). If no such resources are available for your organism, you may need to bootstrap your own or use alternative methods. We have documented useful methods to do this wherever possible, but be aware than some issues are currently still without a good solution.

Important note on GATK versions The Best Practices have been updated for GATK version 3. If you are running an older version, you should seriously consider upgrading. For more details about what has changed in each version, please see the Version History section. If you cannot upgrade your version of GATK for any reason, please look up the corresponding version of the GuideBook PDF (also in the Version History section) to ensure that you are using the appropriate recommendations for your version.

Created 2012-07-23 16:48:55 | Updated 2012-09-30 23:35:55 | Tags: indelrealigner realignertargetcreator

## Realigner Target Creator

For a complete, detailed argument reference, refer to the GATK document page here.

## Indel Realigner

For a complete, detailed argument reference, refer to the GATK document page here.

# Running the Indel Realigner only at known sites

While we advocate for using the Indel Realigner over an aggregated bam using the full Smith-Waterman alignment algorithm, it will work for just a single lane of sequencing data when run in -knownsOnly mode. Novel sites obviously won't be cleaned up, but the majority of a single individual's short indels will already have been seen in dbSNP and/or 1000 Genomes. One would employ the known-only/lane-level realignment strategy in a large-scale project (e.g. 1000 Genomes) where computation time is severely constrained and limited. We modify the example arguments from above to reflect the command-lines necessary for known-only/lane-level cleaning.

The RealignerTargetCreator step would need to be done just once for a single set of indels; so as long as the set of known indels doesn't change, the output.intervals file from below would never need to be recalculated.

 java -Xmx1g -jar /path/to/GenomeAnalysisTK.jar \
-T RealignerTargetCreator \
-R /path/to/reference.fasta \
-o /path/to/output.intervals \
-known /path/to/indel_calls.vcf


The IndelRealigner step needs to be run on every bam file.

java -Xmx4g -Djava.io.tmpdir=/path/to/tmpdir \
-jar /path/to/GenomeAnalysisTK.jar \
-I <lane-level.bam> \
-R <ref.fasta> \
-T IndelRealigner \
-targetIntervals <intervalListFromStep1Above.intervals> \
-o <realignedBam.bam> \
-known /path/to/indel_calls.vcf
--consensusDeterminationModel KNOWNS_ONLY \
-LOD 0.4


Created 2015-07-29 13:55:56 | Updated 2016-04-23 00:12:36 | Tags: genotype likelihoods math phred pl

PL is a sample-level annotation calculated by GATK variant callers such as HaplotypeCaller, recorded in the FORMAT/sample columns of variant records in VCF files. This annotation represents the normalized Phred-scaled likelihoods of the genotypes considered in the variant record for each sample, as described here.

This article clarifies how the PL values are calculated and how this relates to the value of the GQ field.

#### Contents

1. The basic math
2. Example and interpretation
3. Special case: non-reference confidence model (GVCF mode)

### 1. The basic math

The basic formula for calculating PL is:

$$PL = -10 * \log{P(Genotype | Data)}$$

where P(Genotype | Data) is the conditional probability of the Genotype given the sequence Data that we have observed. The process by which we determine the value of P(Genotype | Data) is described in the genotyping section of the Haplotype Caller documentation.

Once we have that probability, we simply take the log of it and multiply it by -10 to put it into Phred scale. Then we normalize the values across all genotypes so that the PL value of the most likely genotype is 0, which we do simply by subtracting the value of the lowest PL from all the values.

The reason we like to work in Phred scale is because it makes it much easier to work with the very small numbers involved in these calculations. One thing to keep in mind of course is that Phred is a log scale, so whenever we need to do a division or multiplication operation (e.g. multiplying probabilities), in Phred scale this will be done as a subtraction or addition.

### 2. Example and interpretation

Here’s a worked-out example to illustrate this process. Suppose we have a site where the reference allele is A, we observed one read that has a non-reference allele T at the position of interest, and we have in hand the conditional probabilities calculated by HaplotypeCaller based on that one read (if we had more reads, their contributions would be multiplied -- or in log space, added).

Please note that the values chosen for this example have been simplified and may not be reflective of actual probabilities calculated by Haplotype Caller.

# Alleles
Reference: A

# Conditional probabilities calculated by HC
P(AA | Data) = 0.000001
P(AT | Data) = 0.000100
P(TT | Data) = 0.010000

#### Calculate the raw PL values

We want to determine the PLs of the genotype being 0/0, 0/1, and 1/1, respectively. So we apply the formula given earlier, which yields the following values:

Genotype A/A A/T T/T
Raw PL -10 * log(0.000001) = 60 -10 * log(0.000100) = 40 -10 * log(0.010000) = 20

Our first observation here is that the genotype for which the conditional probability was the highest turns out to get the lowest PL value. This is expected because, as described in the VCF FAQ, the PL is the likelihood of the genotype, which means (rather unintuitively if you’re not a stats buff) it is the probability that the genotype is not correct. So, low values mean a genotype is more likely, and high values means it’s less likely.

#### Normalize

At this point we have one more small transformation to make before we emit the final PL values to the VCF: we are going to normalize the values so that the lowest PL value is zero, and the rest are scaled relative to that. Since we’re in log space, we do this simply by subtracting the lowest value, 20, from the others, yielding the following final PL values:

Genotype A/A A/T T/T
Normalized PL 60 - 20 = 40 40 - 20 = 20 20 - 20 = 0

We see that there is a direct relationship between the scaling of the PLs and the original probabilities: we had chosen probabilities that were each 100 times more or less likely than the next, and in the final PLs we see that the values are spaced out by a factor of 20, which is the Phred-scale equivalent of 100. This gives us a very convenient way to estimate how the numbers relate to each other -- and how reliable the genotype assignment is -- with just a glance at the PL field in the VCF record.

#### Genotype quality

We actually formalize this assessment of genotype quality in the GQ annotation, as described also in the VCF FAQ.The value of GQ is simply the difference between the second lowest PL and the lowest PL (which is always 0). So, in our example GQ = 20 - 0 = 20. Note that the value of GQ is capped at 99 for practical reasons, so even if the calculated GQ is higher, the value emitted to the VCF will be 99.

### 3. Special case: non-reference confidence model (GVCF mode)

When you run HaplotypeCaller with -ERC GVCF to produce a gVCF, there is an additional calculation to determine the genotype likelihoods associated with the symbolic <NON-REF> allele (which represents the possibilities that remain once you’ve eliminated the REF allele and any ALT alleles that are being evaluated explicitly).

The PL values for any possible genotype that includes the <NON-REF> allele have to be calculated a little differently than what is explained above because HaplotypeCaller cannot directly determine the conditional probabilities of genotypes involving <NON-REF>. Instead, it uses base quality scores to model the genotype likelihoods.

Created 2016-03-17 16:01:36 | Updated 2016-05-12 18:50:15 | Tags: math qual

It used to be that the first rule of GATK was: don't talk about the QUAL score. No more! This document covers the key points in loving detail. Figures are hand-drawn and scanned for now; we'll try to redo them cleanly when we find a bit of time (don't hold your breath though).

### What is the QUAL score?

It's the Phred-scaled posterior probability that all samples in your callset are homozygous reference.

### Okay, but really, what does it tell us?

Basically, we're trying to give you the probability that all the variant evidence you saw in your data is wrong.

If you have just a handful of low quality reads, your QUAL will be pretty low. Possibly too low to emit -- we typically use a threshold of 10 to emit, 30 to call in genotyping, either via HaplotypeCaller in "normal" (non-GVCF) mode or via GenotypeGVCFs (in the GVCF workflow, HaplotyeCaller sets both emit and call thresholds to 0 and emits everything to the GVCF).

However, if you have a lot of variant reads, your QUAL will be much higher. But it only describes the probability that all of your data is erroneous, so it has trouble distinguishing between a small number of reads with high quality mismatches or a large number of reads with low quality mismatches. That's why we recommend using QualByDepth (the QUAL normalized by depth of reads supporting the variant) as an annotation for VQSR because that will yield higher annotation values for high quality reads and lower values for big piles of weak evidence.

### I know the PLs give the genotype likelihoods for each sample, but how do we combine them for all samples?

Heng Li's 2011 paper, section 2.3.5 (there are other copies elsewhere) gives the equations for the biallelic case. It's a recursive relation, so we have to use a dynamic programming algorithm (as you may have seen in the chapter on pairwise alignments in the Durbin et al. "Biological Sequence Analysis" book).

This lovely diagram lays it all out:

S_1...S_N are your N samples, which we're going to evaluate cumulatively as we move across the columns of the matrix. Here we're being very general and allowing each sample to have a different ploidy, which we'll represent with p_i. Thus the total number of chromosomes is Sum{p_i}=P.

We're interested in the S_N column because that represents the AC calculations once we take into account all N samples. The S_N column still isn't our final joint likelihood because we added the samples in a particular order, but more on that later.

We calculate the joint likelihood across samples for all ACs from zero to the total number of chromosomes. We look at all ACs because we also use this calculation to determine the MLEAC that gets reported as part of the "genotyping" process. In the matrix above, we're indexing by i for sample and j for allele count (AC). g_i represents the genotype of the ith sample in terms of its number of alt alleles, i.e. for homRef g_i=0. Note that uses a different approach to break things down than Heng Li's paper, but it's more intuitive with the indexing. And remember this is the biallelic case, so we can assume any non-reference alleles are the same single alt allele. L(g_i) is the likelihood of the genotype, which we can get from sample i's PLs (after we un-Phred scale them, that is).

The "matrix" is triangular because as AC increases, we have to allocate a certain number of samples as being homozygous variant, so those have g_i = 2 with probability 1. Here we show the calculation to fill in the z_ij cell in the matrix, which is the cell corresponding to seeing j alt alleles after taking into account i samples. If sample i is diploid, there are three cells we need to take into account (because i can have 3 genotypes -- 0/0, 0/1, and 1/1 corresponding to g_i={0,1,2}), all of which come from the column where we looked at i-1 samples.

Thus z_ij is the sum of entries where i-1 samples had j alts (z_i-1,j,and sample i is homRef), where i-1 samples had j-1 alts (z_i-1,j-1 and sample i is het) and where i=1 samples had j-2 alts (z_i-1,j-2 and sample i is homVar), taking into account the binomial coefficient (binomial because we're biallelic here so we're only interested in the ref set and the alt set) for the number of ways to arrange i's chromosomes.

By the time we get to column S_N, we've accumulated all the PL data for all the samples. We can then get the likelihood that AC=j in our callset by using the entry in the row according to AC=j and dividing it by the binomial coefficient for the total number of chromosomes (P) with j alt alleles to account for the fact that we could see those alt chromosomes in our samples in any order.

### Wait, that's just a likelihood. But you said that the QUAL is a posterior? So that means there's a prior?

Yep! In short, the prior based on AC is Pr(AC = i; i > 0) = θ/i making Pr(AC = 0) = 1 – ΣP>=i>0Pr(AC = i)

### What's the long version?

The prior, which is uniform across all sites, comes from population genetics theory, specifically coalescent theory. Let's start by defining some of our population genetics terminology. In the GATK docs, we use θ as the population heterozygosity under the neutral mutation model. Heterozygosity is the probability that two alleles drawn at random from the population will be different by state. In modern sequencing terms, that just means that there will be a variant in one with respect to the other. Note that two alleles can be identical by state but different by origin, i.e. the same variant occurred independently. If we assume that all loci are equally likely to be variant (which we know in modern times to be false, but this assumption underlies some important population genetics theories that we us as approximations) then we can also describe θ as the rate at which variants occur in the genome, 1 per 1/θ basepairs.

From Gillespie, "a coalescent is the lineage of alleles in a sample [as in cohort of individuals samples from the population] traced backwards in time to their common ancestor allele." Forward in time, the splits in the tree can be thought of as mutation events that generate new alleles. Backwards in time, they are referred to as coalescent events because two branches of the tree coalesce, or come together.

Each split in the coalescent represents the occurrence of a variant (let's say that each left branch is unchanged and the right branch picks up the new variant). Allele A never saw any variants, but one occurred separating A from B/C/D at -t3. Then another occurred separating B/C from D at -t2, and a final one separating B from C at -t1. So allele A is still "wild type" with no variants. Allele B has only variant -t3. Allele C has two variants: t3 and t1. Allele D has two variants: t3 and t2. So variant t3 has AC=3 (three alleles stemming from its right, non-reference branch), t2 has AC=1 and t1 has AC=1. Time here is given in generations of the population, so multiple generations can occur without there being a mutational event leading to a new allele.

The total time in the coalescent is measured as the sum of the lengths of all the branches of the tree describing the coalescent. For the figure, Tc = 4t1 + 3(t2-t1) + 2*(t3-t2). If we define Ti as the time required to reduce a coalescent with i alleles to one with i-1 alleles, we can write Tc as 4T4 + 3T3 + 2T2. In the forward direction, then Ti becomes the amount of time required to introduce a new mutation into a population of i-1 distinct alleles.

To derive an expected value for Ti, let's look at how each allele is derived from its ancestors in a population of n alleles within N samples under the assumption that a coalescence has not occurred, i.e. that each allele has a different ancestor in the previous generation because there were no coalescence events (or mutations in the forward time direction). The first (reference) allele (A in the diagram) is guaranteed to have an ancestor in the first generation because there were no mutations. The second allele has to have a different ancestor than the first allele or else they would be derived from the same source and thusly the same allele because there were no mutations in this generation. The second allele has a different ancestor with probability 1-1/(2N) = (2N-1)/(2N) (where we're assuming ploidy=2 as we usually do for population genetics of humans). Note that there are 2N possible ancestor alleles and 2N-1 that are different from the first allele. The probability that the third allele has a distinct ancestor, given that the first two do not share an ancestor, is (2N-2)/(2N), making the total probability of three alleles with three different ancestors:

$$\dfrac{2N-1}{2N} \times \dfrac{2N-2}{2N}$$

We can continue this pattern for all n alleles to arrive at the probability that all n alleles have different ancestors, i.e. that no coalescent event (or variant event) has occurred:

$$\left ( 1-\dfrac{1}{2N} \right )\times \left ( 1-\dfrac{2}{2N} \right )\times \cdots \times \left ( 1- \dfrac{n-1}{2N} \right )$$

And if we multiply terms and approximate terms with N^2 in the denominator is small enough to be ignored we arrive at:

$$1- \dfrac{1}{2N}-\dfrac{2}{2N}- \cdots - \dfrac{n-1}{2N}$$

The probability of a coalescence occurring is the complement of the probability that it does not occur, giving:

$$\dfrac {1+2+\cdots+(n-1)}{2N} = \dfrac{n(n-1))}{4N}$$

Which is the probability of a coalescence in any particular generation. We can now describe the probability distribution of the time to the first coalescence as a geometric distribution where the probability of success is:

$$E[T_n] = \dfrac{4N}{n(n-1))}$$

Giving the expectation of the time to coalescence as:

$$E[T_i] = \dfrac{4N}{i(i-1))}$$

We can generalize this to any coalescent event i as:

$$Tc = \sum{i=2}^{n}iT_i$$

Which is a generalization of the example worked out above based on the figure. The expectation of the time spent in the coalescent is then:

$$E[Tc] = E \left[ \sum{i=2}^{n}iTi\right ] = \sum{i=2}^{n}iE[Ti] = 4N \sum{i=2}^{n}\dfrac{1}{i-1}$$

The expected number of variants (Sn, called "segregating sites" in the old-school pop gen vernacular) is the neutral mutation rate (u) times the expected amount of time in the coalescent. A mutation can occur on any branch of the coalescent, so we want to sum the time in all branches to allow for all possibilities -- we did this above.

So the expected number of variants can be expressed in terms of the heterozygosity, which, if we describe it as a rate per basepair as above, allows us to describe the probability of a variant occurring at a given locus, forming the prior for our QUAL score. If we assume a cohort of unrelated individuals, the occurrence of any variant with AC > 1 must the result of that variant occurring multiple times independently at the same locus. If we now assume the coalescent is restricted to lineage of variants at a single position, we can reframe E[Sn] in terms of AC instead of number of alleles. Then we can convert the index of the sum to be AC (the number of mutations, but restricted to the same locus) using i = i' + 1 (because the set n originally includes the reference allele) so that the new where N is the number of chromosomes in the cohort.

From there, we can show that the Pr[AC=i] = θ/i

$$E[S_n] = uE[Tc]=\theta\sum{i=2}^{n}\dfrac{1}{i-1} = \dfrac{\theta}1+\dfrac{\theta}2+\cdots+\dfrac{\theta}{n-1}$$

(The theory presented here comes from Chapter 2 of "Population Genetics: A Concise Guide" by John H. Gillespie)

### And the final QUAL calculation?

The posterior is simply:

P(AC = i|D) = Lk(D | AC = i) Pr(AC = i) / P(D)

QUAL = Phred ( AC = 0 | D).

### Okay, but biallelic sites are boring. I like working with big callsets and multiallelic sites. How does the math change in that case?

Well, the short answer is that it gets a lot more complicated. Where we had a 2-D matrix for the biallelic case, we'll have a N-dimensional volume for a site with N alleles (including the reference.)

Another lovely illustration helps us wrap our puny human brains around this idea:

Where p is ploidy, s is number of samples, a is number of alleles -- that's it.

So we use some approximations in order to get you your results in a reasonable amount of time. Those have been working out pretty well so far, but there are a few cases where they don't do as well, so we're looking into improving our approximations so nobody loses any rare alleles. Stay tuned!

Created 2012-07-23 16:52:26 | Updated 2016-05-10 13:16:47 | Tags: depthofcoverage diagnosetargets coverage

### Overview

This document describes the tools and concepts involved in performing sequence coverage analysis, where the purpose is to answer the common question: "(Where) Do I have enough sequence data to be empowered to discover variants with reasonable confidence?".

The tools involved are the following:

For an overview of the major annotations that are used by variant callers to express read depth at a variant site, and guidelines for using those metrics to evaluate variants, please see this document.

### Introduction to coverage analysis as a QC method

Coverage analysis generally aims to answer the common question: "(Where) Do I have enough sequence data to be empowered to discover variants with reasonable confidence?".

This section is incomplete.

### Using DepthOfCoverage to QC whole-genome data

DepthOfCoverage is a coverage profiler for a (possibly multi-sample) bam file. It uses a granular histogram that can be user-specified to present useful aggregate coverage data. It reports the following metrics over the entire .bam file:

• Total, mean, median, and quartiles for each partition type: aggregate
• Total, mean, median, and quartiles for each partition type: for each interval
• A series of histograms of the number of bases covered to Y depth for each partition type (granular; e.g. Y can be a range, like 16 to 22)
• A matrix of counts of the number of intervals for which at least Y samples and/or read groups had a median coverage of at least X
• A matrix of counts of the number of bases that were covered to at least X depth, in at least Y groups (e.g. # of loci with ≥15x coverage for ≥12 samples)
• A matrix of proportions of the number of bases that were covered to at least X depth, in at least Y groups (e.g. proportion of loci with ≥18x coverage for ≥15 libraries)

That last matrix is key to answering the question posed above, so we recommend running this tool on all samples together.

Note that DepthOfCoverage can be configured to output these statistics aggregated over genes by providing it with a RefSeq gene list.

DepthOfCoverage also outputs, by default, the total coverage at every locus, and the coverage per sample and/or read group. This behavior can optionally be turned off, or switched to base count mode, where base counts will be output at each locus, rather than total depth.

To get a summary of coverage by each gene, you may supply a refseq (or alternative) gene list via the argument

-geneList /path/to/gene/list.txt

The provided gene list must be of the following format:

585     NM_001005484    chr1    +       58953   59871   58953   59871   1       58953,  59871,  0       OR4F5   cmpl    cmpl    0,
587     NM_001005224    chr1    +       357521  358460  357521  358460  1       357521, 358460, 0       OR4F3   cmpl    cmpl    0,
587     NM_001005277    chr1    +       357521  358460  357521  358460  1       357521, 358460, 0       OR4F16  cmpl    cmpl    0,
587     NM_001005221    chr1    +       357521  358460  357521  358460  1       357521, 358460, 0       OR4F29  cmpl    cmpl    0,
589     NM_001005224    chr1    -       610958  611897  610958  611897  1       610958, 611897, 0       OR4F3   cmpl    cmpl    0,
589     NM_001005277    chr1    -       610958  611897  610958  611897  1       610958, 611897, 0       OR4F16  cmpl    cmpl    0,
589     NM_001005221    chr1    -       610958  611897  610958  611897  1       610958, 611897, 0       OR4F29  cmpl    cmpl    0,

For users who have access to internal Broad resources, the properly-formatted file containing refseq genes and transcripts is located at

/humgen/gsa-hpprojects/GATK/data/refGene.sorted.txt

If you do not have access (if you don't know, you probably don't have it), you can generate your own as described here.

If you supply the -geneList argument, DepthOfCoverage will output an additional summary file that looks as follows:

Gene_Name     Total_Cvg       Avg_Cvg       Sample_1_Total_Cvg    Sample_1_Avg_Cvg    Sample_1_Cvg_Q3       Sample_1_Cvg_Median      Sample_1_Cvg_Q1
SORT1    594710  238.27  594710  238.27  165     245     330
NOTCH2  3011542 357.84  3011542 357.84  222     399     &gt;500
LMNA    563183  186.73  563183  186.73  116     187     262
NOS1AP  513031  203.50  513031  203.50  91      191     290

Note that the gene coverage will be aggregated only over samples (not read groups, libraries, or other types). The -geneList argument also requires specific intervals within genes to be given (say, the particular exons you are interested in, or the entire gene), and it functions by aggregating coverage from the interval level to the gene level, by referencing each interval to the gene in which it falls. Because by-gene aggregation looks for intervals that overlap genes, -geneList is ignored if -omitIntervals is thrown.

### Using DiagnoseTargets to QC whole-exome data

DiagnoseTargets produces a pseudo-VCF file that provides a "CallableStatus" judgment for each position or range of positions in the input bam file. The possible judgments are as follows:

• PASS : The base satisfied the min. depth for calling but had less than maxDepth to avoid having EXCESSIVE_COVERAGE.

• COVERAGE_GAPS : Absolutely no coverage was observed at a locus, regardless of the filtering parameters.

• LOW_COVERAGE : There were less than min. depth bases at the locus, after applying filters.

• EXCESSIVE_COVERAGE: More than -maxDepth read at the locus, indicating some sort of mapping problem.

• POOR_QUALITY : More than --maxFractionOfReadsWithLowMAPQ at the locus, indicating a poor mapping quality of the reads.

• BAD_MATE : The reads are not properly mated, suggesting mapping errors.

Created 2012-07-23 17:15:57 | Updated 2015-05-15 21:31:15 | Tags: readbackedphasing phasing

This document describes the underlying concepts of physical phasing as applied in the ReadBackedPhasing tool. For a complete, detailed argument reference, refer to the tool documentation page.

Note that as of GATK 3.3, physical phasing is performed automatically by HaplotypeCaller when it is run in -ERC GVCF or -ERC BP_RESOLUTION mode, so post-processing variant calls with ReadBackedPhasing is no longer necessary unless you want to merge consecutive variants into MNPs.

### Underlying concepts

The biological unit of inheritance from each parent in a diploid organism is a set of single chromosomes, so that a diploid organism contains a set of pairs of corresponding chromosomes. The full sequence of each inherited chromosome is also known as a haplotype. It is critical to ascertain which variants are associated with one another in a particular individual. For example, if an individual's DNA possesses two consecutive heterozygous sites in a protein-coding sequence, there are two alternative scenarios of how these variants interact and affect the phenotype of the individual. In one scenario, they are on two different chromosomes, so each one has its own separate effect. On the other hand, if they co-occur on the same chromosome, they are thus expressed in the same protein molecule; moreover, if they are within the same codon, they are highly likely to encode an amino acid that is non-synonymous (relative to the other chromosome). The ReadBackedPhasing program serves to discover these haplotypes based on high-throughput sequencing reads.

### How it works

The first step in phasing is to call variants ("genotype calling") using a SAM/BAM file of reads aligned to the reference genome -- this results in a VCF file. Using the VCF file and the SAM/BAM reads file, the ReadBackedPhasing tool considers all reads within a Bayesian framework and attempts to find the local haplotype with the highest probability, based on the reads observed.

The local haplotype and its phasing is encoded in the VCF file as a "|" symbol (which indicates that the alleles of the genotype correspond to the same order as the alleles for the genotype at the preceding variant site). For example, the following VCF indicates that SAMP1 is heterozygous at chromosome 20 positions 332341 and 332503, and the reference base at the first position (A) is on the same chromosome of SAMP1 as the alternate base at the latter position on that chromosome (G), and vice versa (G with C):

#CHROM  POS ID  REF ALT QUAL    FILTER  INFO    FORMAT  SAMP1
chr20   332341  rs6076509   A   G   470.60  PASS    AB=0.46;AC=1;AF=0.50;AN=2;DB;DP=52;Dels=0.00;HRun=1;HaplotypeScore=0.98;MQ=59.11;MQ0=0;OQ=627.69;QD=12.07;SB=-145.57    GT:DP:GL:GQ 0/1:46:-79.92,-13.87,-84.22:99
chr20   332503  rs6133033   C   G   726.23  PASS    AB=0.57;AC=1;AF=0.50;AN=2;DB;DP=61;Dels=0.00;HRun=1;HaplotypeScore=0.95;MQ=60.00;MQ0=0;OQ=894.70;QD=14.67;SB=-472.75    GT:DP:GL:GQ:PQ  1|0:60:-110.83,-18.08,-149.73:99:126.93

The per-sample per-genotype PQ field is used to provide a Phred-scaled phasing quality score based on the statistical Bayesian framework employed for phasing. For cases of homozygous sites that lie in between phased heterozygous sites, these homozygous sites will be phased with the same quality as the next heterozygous site.

Note that this tool can only handle diploid data properly. If your organism of interest is polyploid or if you are working with data from pooling experiments, you should not run this tool on your data.

### More detailed aspects of semantics of phasing in the VCF format

• The "|" symbol is used for each sample to indicate that each of the alleles of the genotype in question derive from the same haplotype as each of the alleles of the genotype of the same sample in the previous NON-FILTERED variant record. That is, rows without FILTER=PASS are essentially ignored in the read-backed phasing (RBP) algorithm.

• Note that the first heterozygous genotype record in a pair of haplotypes will necessarily have a "/" - otherwise, they would be the continuation of the preceding haplotypes.

• A homozygous genotype is always "appended" to the preceding haplotype. For example, any 0/0 or 1/1 record is always converted into 0|0 and 1|1.

• RBP attempts to phase a heterozygous genotype relative the preceding HETEROZYGOUS genotype for that sample. If there is sufficient read information to deduce the two haplotypes (for that sample), then the current genotype is declared phased ("/" changed to "|") and assigned a PQ that is proportional to the estimated Phred-scaled error rate. All homozygous genotypes for that sample that lie in between the two heterozygous genotypes are also assigned the same PQ value (and remain phased).

• If RBP cannot phase the heterozygous genotype, then the genotype remains with a "/", and no PQ score is assigned. This site essentially starts a new section of haplotype for this sample.

For example, consider the following records from the VCF file:

#CHROM  POS ID  REF ALT QUAL    FILTER  INFO    FORMAT  SAMP1   SAMP2
chr1    1   .   A   G   99  PASS    .   GT:GL:GQ    0/1:-100,0,-100:99  0/1:-100,0,-100:99
chr1    2   .   A   G   99  PASS    .   GT:GL:GQ:PQ 1|1:-100,0,-100:99:60   0|1:-100,0,-100:99:50
chr1    3   .   A   G   99  PASS    .   GT:GL:GQ:PQ 0|1:-100,0,-100:99:60   0|0:-100,0,-100:99:60
chr1    4   .   A   G   99  FAIL    .   GT:GL:GQ    0/1:-100,0,-100:99  0/1:-100,0,-100:99
chr1    5   .   A   G   99  PASS    .   GT:GL:GQ:PQ 0|1:-100,0,-100:99:70   1|0:-100,0,-100:99:60
chr1    6   .   A   G   99  PASS    .   GT:GL:GQ:PQ 0/1:-100,0,-100:99  1|1:-100,0,-100:99:70
chr1    7   .   A   G   99  PASS    .   GT:GL:GQ:PQ 0|1:-100,0,-100:99:80   0|1:-100,0,-100:99:70
chr1    8   .   A   G   99  PASS    .   GT:GL:GQ:PQ 0|1:-100,0,-100:99:90   0|1:-100,0,-100:99:80

The proper interpretation of these records is that SAMP1 has the following haplotypes at positions 1-5 of chromosome 1:

AGAAA
GGGAG

And two haplotypes at positions 6-8:

AAA
GGG

And, SAMP2 has the two haplotypes at positions 1-8:

AAAAGGAA
GGAAAGGG

Note that we have excluded the non-PASS SNP call (at chr1:4), thus assuming that both samples are homozygous reference at that site.

Created 2012-07-23 17:50:07 | Updated 2015-05-15 23:55:20 | Tags: selectvariants jexl vcf callset

### This document describes why you might want to extract a subset of variants from a callset and how you would achieve this.

Often, a VCF containing many samples and/or variants will need to be subset in order to facilitate certain analyses (e.g. comparing and contrasting cases vs. controls; extracting variant or non-variant loci that meet certain requirements, displaying just a few samples in a browser like IGV, etc.). The GATK tool that we use the most for subsetting calls in various ways is SelectVariants; it enables easy and convenient subsetting of VCF files according to many criteria.

Select Variants operates on VCF files (also sometimes referred to as ROD in our documentation, for Reference Ordered Data) provided at the command line using the GATK's built in --variant option. You can provide multiple VCF files for Select Variants, but at least one must be named 'variant' and this will be the file (or set of files) from which variants will be selected. Other files can be used to modify the selection based on concordance or discordance between the callsets (see --discordance / --concordance arguments in the tool documentation).

There are many options for setting the selection criteria, depending on what you want to achieve. For example, given a single VCF file, one or more samples can be extracted from the file, based either on a complete sample name, or on a pattern match. Variants can also be selected based on annotated properties, such as depth of coverage or allele frequency. This is done using JEXL expressions; make sure to read the linked document for details, especially the section on working with complex expressions.

Note that in the output VCF, some annotations such as AN (number of alleles), AC (allele count), AF (allele frequency), and DP (depth of coverage) are recalculated as appropriate to accurately reflect the composition of the subset callset. See further below for an explanation of how that works.

### Command-line arguments

For a complete, detailed argument reference, refer to the GATK document page here.

### Subsetting by sample and ALT alleles

SelectVariants now keeps (r5832) the alt allele, even if a record is AC=0 after subsetting the site down to selected samples. For example, when selecting down to just sample NA12878 from the OMNI VCF in 1000G (1525 samples), the resulting VCF will look like:

1       82154   rs4477212       A       G       .       PASS    AC=0;AF=0.00;AN=2;CR=100.0;DP=0;GentrainScore=0.7826;HW=1.0     GT:GC   0/0:0.7205
1       534247  SNP1-524110     C       T       .       PASS    AC=0;AF=0.00;AN=2;CR=99.93414;DP=0;GentrainScore=0.7423;HW=1.0  GT:GC   0/0:0.6491
1       565286  SNP1-555149     C       T       .       PASS    AC=2;AF=1.00;AN=2;CR=98.8266;DP=0;GentrainScore=0.7029;HW=1.0   GT:GC   1/1:0.3471
1       569624  SNP1-559487     T       C       .       PASS    AC=2;AF=1.00;AN=2;CR=97.8022;DP=0;GentrainScore=0.8070;HW=1.0   GT:GC   1/1:0.3942

Although NA12878 is 0/0 at the first sites, ALT allele is preserved in the VCF record. This is the correct behavior, as reducing samples down shouldn't change the character of the site, only the AC in the subpopulation. This is related to the tricky issue of isPolymorphic() vs. isVariant().

• isVariant => is there an ALT allele?

• isPolymorphic => is some sample non-ref in the samples?

For clarity, in previous versions of SelectVariants, the first two monomorphic sites lose the ALT allele, because NA12878 is hom-ref at this site, resulting in VCF that looks like:

1       82154   rs4477212       A       .       .       PASS    AC=0;AF=0.00;AN=2;CR=100.0;DP=0;GentrainScore=0.7826;HW=1.0     GT:GC   0/0:0.7205
1       534247  SNP1-524110     C       .       .       PASS    AC=0;AF=0.00;AN=2;CR=99.93414;DP=0;GentrainScore=0.7423;HW=1.0  GT:GC   0/0:0.6491
1       565286  SNP1-555149     C       T       .       PASS    AC=2;AF=1.00;AN=2;CR=98.8266;DP=0;GentrainScore=0.7029;HW=1.0   GT:GC   1/1:0.3471
1       569624  SNP1-559487     T       C       .       PASS    AC=2;AF=1.00;AN=2;CR=97.8022;DP=0;GentrainScore=0.8070;HW=1.0   GT:GC   1/1:0.3942

If you really want a VCF without monomorphic sites, use the option to drop monomorphic sites after subsetting.

### How do the AC, AF, AN, and DP fields change?

Let's say you have a file with three samples. The numbers before the ":" will be the genotype (0/0 is hom-ref, 0/1 is het, and 1/1 is hom-var), and the number after will be the depth of coverage.

BOB        MARY        LINDA
1/0:20     0/0:30      1/1:50

In this case, the INFO field will say AN=6, AC=3, AF=0.5, and DP=100 (in practice, I think these numbers won't necessarily add up perfectly because of some read filters we apply when calling, but it's approximately right).

Now imagine I only want a file with the samples "BOB" and "MARY". The new file would look like:

BOB        MARY
1/0:20     0/0:30

The INFO field will now have to change to reflect the state of the new data. It will be AN=4, AC=1, AF=0.25, DP=50.

Let's pretend that MARY's genotype wasn't 0/0, but was instead "./." (no genotype could be ascertained). This would look like

BOB        MARY
1/0:20     ./.:.

with AN=2, AC=1, AF=0.5, and DP=20.

For information on how to construct regular expressions for use with this tool, see the method article on variant filtering with JEXL, or "Summary of regular-expression constructs" section here for more hardcore reading.

Created 2014-10-21 21:56:58 | Updated 2015-08-31 19:54:21 | Tags: statistics annotations

## General overview

This document describes the statistical methods used by various GATK tools, especially the variant annotations. The methods are arranged alphabetically below.

Note that this document is in progress; we will be adding more over time. Please check back later or subscribe to forum notifications to receive an email when we update the content in this section. Feel free to leave a comment saying which stats methods used by GATK you'd like to see documented here.

### List of documented methods

• Inbreeding Coefficient
• Rank Sum Test

## Inbreeding Coefficient

### Overview

Although the name Inbreeding Coefficient suggests it is a measure of inbreeding, Inbreeding Coefficient measures the excess heterozygosity at a variant site. It can be used as a proxy for poor mapping (sites that have high Inbreeding Coefficients are typically locations in the genome where the mapping is bad and reads that are in the region mismatch the region because they belong elsewhere). At least 10 samples are required (preferably many more) in order for this annotation to be calculated properly.

### Theory

The Wikipedia article about Hardy-Weinberg principle includes some very helpful information on the theoretical underpinnings of the test, as Inbreeding Coefficient relies on the math behind the Hardy-Weinberg Principle.

### Use in GATK

We calculate Inbreeding Coefficient as 1-(# observed heterozygotes)/(# expected heterozygotes). The number of observed heterozygotes can be calculated from the data. The number of expected heterozygotes is 2pq, where p is the frequency of the reference allele and q is the frequency of the alternate allele (AF). (Please see Hardy-Weinberg Principle link above). A value of 0 suggests the site is in Hardy-Weinberg Equilibrium. Negative values of Inbreeding Coefficient could mean there are too many heterozygotes and suggest a site with bad mapping. The other nice side effect is that one of the error modes in variant calling is for all calls to be heterozygous, which this metric captures nicely. This is why we recommend filtering out variants with negative Inbreeding Coefficients. Although positive values suggest too few heterozygotes, we do not recommend filtering out positive values because they could arise from admixture of different ethnic populations.

### Example: Inbreeding Coefficient

In this example, lets say we are working with 100 human samples, and we are trying to calculate Inbreeding Coefficient at a site that has A for the reference allele and T for the alternate allele.

#### Step 1: Count the number of samples that have each genotype (hom-ref, het, hom-var)

A/A (hom-ref): 51 A/T (het): 11 T/T (hom-var): 38

#### Step 2: Get all necessary information to solve equation

We need to find the # observed hets and # expected hets.

number of observed hets = 11 (from number of observed A/T given above)

number of expected hets = 2pq * total genotypes (2pq is frequency of heterozygotes according to Hardy-Weinberg Equilibrium. We need to multiply that frequency by the number of all genotypes in the population to get the expected number of heterozygotes.)

p = frequency of ref allele = (# ref alleles)/(total # alleles) = (2 51 + 11)/(2 51 + 11 2 + 38 2) = 113/200 = 0.565 q = frequency of alt allele = (# alt alleles)/(total # alleles) = (2 38 + 11)/(2 51 + 11 2 + 38 2) = 87/200 = 0.435

#### Remember that homozygous genotypes have two copies of the allele of interest (because we're assuming diploid.)

number of expected hets = 2pq 100 = 2 0.565 0.435 100 = 49.155

#### Step 3: Plug in the Numbers

Inbreeding Coefficient = 1 - (# observed hets)/(#expected hets) = 1 - (11/49.155) = 0.776

#### Step 4: Interpret the output

Our Inbreeding Coefficient is 0.776. Because it is a positive number, we can see there are fewer than the expected number of heterozygotes according to the Hardy-Weinberg Principle. Too few heterozygotes can imply inbreeding. However, we do not recommend filtering this site out because there may be a mixture of ethnicities in the cohort, and some ethnicities may be hom-ref while others are hom-var.

## Rank Sum Test

### Overview

The Rank Sum Test, also known as Mann-Whitney-Wilcoxon U-test after its developers (who are variously credited in subsets and in different orders depending on the sources you read) is a statistical test that aims to determine whether there is significant difference in the values of two populations of data.

### Theory

The Wikipedia article about the Rank Sum Test includes some very helpful information on the theoretical underpinnings of the test, as well as various examples of how it can be applied.

### Use in GATK

This test is used by several GATK annotations, including two standard annotations that are used for variant recalibration in the Best Practices: MappingQualityRankSum and ReadPosRankSum. In all cases, the idea is to check, for a given candidate variant, whether the properties of the data that support the reference allele are similar to those of the data that support a variant allele. If they are not similar, we conclude that there may be some technical bias and that the candidate variant may be an artifact.

### Example: BaseQualityRankSumTest

Note: this example applies Method 2 from the Wikipedia article linked above.

In this example, we have a set of 20 reads, 10 of which support the reference allele and 10 of which support the alternate allele. At first glance, that looks like a clear heterozygous 0/1 site. But to be thorough in our analysis and to account for any technical bias, we want to determine if there is a significant difference in the base qualities of the bases that support the reference allele vs. the bases that support the alternate allele.

Before we proceed, we must define our null hypothesis and alternate hypothesis.

-Null hypothesis: There is no difference in the base qualities that support the reference allele and the base qualities that support the alternate allele.

-Alternate hypothesis: There is a difference in the base qualities that support the reference allele and the base qualities that support the alternate allele.

#### Step 1: List the relevant observations

Reference allele base qualities: 20, 25, 26, 30, 32, 40, 47, 50, 53, 60 Alternate allele base qualities: 0, 7, 10, 17, 20, 21, 30, 34, 40, 45

#### Step 2: Rank the observations

First, we arrange all the observations (base qualities) into a list of values ordered from lowest to highest (reference bases are in bold).

0, 7, 10, 17, 20, 20, 21, 25, 26, 30, 30, 32, 34, 40, 40, 45, 47, 50, 53, 60

Next we determine the ranks of the values. Since there are 20 observations (the base qualities), we have 20 ranks to assign. Whenever there are ties between observations for the rank, we take the rank to be equal to the midpoint of the ranks. For example, for 20(ref) and 20(alt), we have a tie in values, so we assign each observation a rank of (5+6)/2 = 5.5.

The ranks from the above list are (reference ranks are in bold):

1, 2, 3, 4, 5.5, 5.5, 7, 8, 9, 10.5, 10.5, 12, 13, 14.5, 14.5, 16, 17, 18, 19, 20

#### Step 3: Add up the ranks for each group

We now need to add up the ranks for the base qualities that came from the reference allele and the alternate allele.

$$Rank{ref} = 133.5$$ $$Rank{alt} = 76.5$$

#### Step 4: Calculate U for each group

U is a statistic that tells us the difference between the two rank totals. We can use the U statistic to calculate the z-score (explained below), which will give us our p-value.

Calculate U for each group (n = number of observations in each sample)

$$U{ref} = \frac{ n{ref} n{alt} + n{ref} (n{ref}+ 1) }{ 2 } - Rank{ref}$$ $$U{alt} = \frac{ n{alt} n{ref} + n{alt} (n{alt} + 1) }{ 2 } - Rank{alt}$$

$$U{ref} = \frac{ 10 10 + 10 11 }{ 2 } - 133.5 = 21.5$$ $$U{alt} = \frac{ 10 10 + 10 11 }{ 2 } - 76.5 = 78.5$$

#### Step 5: Calculate the overall z-score

Next, we need to calculate the z-score which will allow us to get the p-value. The z-score is a normalized score that allows us to compare the probability of the U score occurring in our distribution. https://statistics.laerd.com/statistical-guides/standard-score.php

The equation to get the z-score is:

$$z = \frac{U - mu}{u}$$

Breaking this equation down:

$$z = z-score$$ $$U = \text{lowest of the U scores calculated in previous steps}$$

$$mu = \text{mean of the U scores above} = \frac{ n{ref} * n{alt} }{ 2 }$$

$$u = \text{standard deviation of U} = \sqrt{ \frac{n{ref} * n{alt} * (n{ref} + n{alt} + 1) }{ 12 } }$$

To calculate our z:

$$U = 21.5$$ $$mu = \frac{10 10 }{ 2 } = 50$$ $$u = \sqrt{ \frac{10 10 *(10 + 10 + 1) }{ 12 } } = 13.229$$

So altogether we have:

$$z = \frac{ 21.5 - 50 }{ 13.229 } = -2.154$$

#### Step 6: Calculate and interpret the p-value

The p-value is the probability of obtaining a z-score at least as extreme as the one we got, assuming the null hypothesis is true. In our example, the p-value gives us the probability that there is no difference in the base qualities that support the reference allele and the base qualities that support the alternate allele. The lower the p-value, the less likely it is that there is no difference in the base qualities.

Going to the z-score table, or just using a p-value calculator, we find the p-value to be 0.0312.

This means there is a .0312 chance that the base quality scores of the reference allele and alternate allele are the same. Assuming a p-value cutoff of 0.05, meaning there is less than 5% chance there is no difference in the two groups, and greater than or equal to 95% chance that there is a difference between the two groups, we have enough evidence to reject our null hypothesis that there is no difference in the base qualities of the reference and alternate allele. This indicates there is some bias and that the alternate allele is less well supported by the data than the allele counts suggest.

Created 2016-02-03 17:18:06 | Updated 2016-05-09 17:33:05 | Tags:

This document aims to provide insight into the logic of the generic hard-filtering recommendations that we provide as a substitute for VQSR. Hopefully it will also serve as a guide for adapting these recommendations or developing new filters that are appropriate for datasets that diverge significantly from what we usually work with.

### Introduction

Hard-filtering consists of choosing specific thresholds for one or more annotations and throwing out any variants that have annotation values above or below the set thresholds. By annotations, we mean properties or statistics that describe for each variant e.g. what the sequence context is like around the variant site, how many reads covered it, how many reads covered each allele, what proportion of reads were in forward vs reverse orientation, and so on.

The problem with this approach is that it is very limiting because it forces you to look at each annotation dimension individually, and you end up throwing out good variants just because one of their annotations looks bad, or keeping bad variants in order to keep those good variants.

In contrast, VQSR is more powerful because it uses machine-learning algorithms to learn from the data what are the annotation profiles of good variants (true positives) and of bad variants (false positives) in a particular dataset. This empowers you to pull out variants based on how they cluster together along different dimensions, and liberates you to a large extent from the linear tyranny of single-dimension thresholds.

Unfortunately this method requires a large number of variants and well-curated known variant resources. For those of you working with small gene panels or with non-model organisms, this is a deal-breaker, and you have to fall back on hard-filtering.

### Outline

In this article, we illustrate how the generic hard-filtering recommendations we provide relate to the distribution of annotation values we typically see in callsets produced by our variant calling tools, and how this in turn relates to the underlying physical properties of the sequence data.

We also use results from VQSR filtering (which we take as ground truth in this context) to highlight the limitations of hard-filtering.

We do this in turn for each of five annotations that are highly informative among the recommended annotations: QD, FS, MQ, MQRankSum and ReadPosRankSum. The same principles can be applied to most other annotations produced by GATK tools.

### Overview of data and methods

#### Origin of the dataset

We called variants on a whole genome trio (samples NA12878, NA12891, NA12892, previously pre-processed) using HaplotypeCaller in GVCF mode, yielding a gVCF file for each sample. We then joint-genotyped the gVCFs using GenotypeGVCF, yielding an unfiltered VCF callset for the trio. Finally, we ran VQSR on the trio VCF, yielding the filtered callset. We will be looking at the SNPs only.

#### Plotting methods and interpretation notes

All plots shown below are density plots generated using the ggplot2 library in R. On the x-axis are the annotation values, and on the y-axis are the density values. The area under the density plot gives you the probability of observing the annotation values. So, the entire area under all of the plots will be equal to 1. However, if you would like to know the probability of observing an annotation value between 0 and 1, you will have to take the area under the curve between 0 and 1.

In plain English, this means that the plots shows you, for a given set of variants, what is the distribution of their annotation values. The caveat is that when we're comparing two or more sets of variants on the same plot, we have to keep in mind that they may contain very different numbers of variants, so the amount of variants in a given part of the distribution is not directly comparable; only their proportions are comparable.

### QualByDepth (QD)

This is the variant confidence (from the QUAL field) divided by the unfiltered depth of non-hom-ref samples. This annotation is intended to normalize the variant quality in order to avoid inflation caused when there is deep coverage. For filtering purposes it is better to use QD than either QUAL or DP directly.

The generic filtering recommendation for QD is to filter out variants with QD below 2. Why is that?

First, let’s look at the QD values distribution for unfiltered variants. Notice the values can be anywhere from 0-40. There are two peaks where the majority of variants are (around QD = 12 and QD = 32). These two peaks correspond to variants that are mostly observed in heterozygous (het) versus mostly homozygous-variant (hom-var) states, respectively, in the called samples. This is because hom-var samples contribute twice as many reads supporting the variant than do het variants. We also see, to the left of the distribution, a "shoulder" of variants with QD hovering between 0 and 5.

We expect to see a similar distribution profile in callsets generated from most types of high-throughput sequencing data, although values where the peaks form may vary.

Now, let’s look at the plot of QD values for variants that passed VQSR and those that failed VQSR. Red indicates the variants that failed VQSR, and blue (green?) the variants that passed VQSR.

We see that the majority of variants filtered out correspond to that low-QD "shoulder" (remember that since this is a density plot, the y-axis indicates proportion, not number of variants); that is what we would filter out with the generic recommendation of the threshold value 2 for QD.

Notice however that VQSR has failed some variants that have a QD greater than 30! All those variants would have passed the hard filter threshold, but VQSR tells us that these variants looked artifactual in one or more other annotation dimensions. Conversely, although it is not obvious in the figure, we know that VQSR has passed some variants that have a QD less than 2, which hard filters would have eliminated from our callset.

### FisherStrand (FS)

This is the Phred-scaled probability that there is strand bias at the site. Strand Bias tells us whether the alternate allele was seen more or less often on the forward or reverse strand than the reference allele. When there little to no strand bias at the site, the FS value will be close to 0.

Note: SB, SOR and FS are related but not the same! They all measure strand bias (a type of sequencing bias in which one DNA strand is favored over the other, which can result in incorrect evaluation of the amount of evidence observed for one allele vs. the other) in different ways. SB gives the raw counts of reads supporting each allele on the forward and reverse strand. FS is the result of using those counts in a Fisher's Exact Test. SOR is a related annotation that applies a different statistical test (using the SB counts) that is better for high coverage data.

Let’s look at the FS values for the unfiltered variants. The FS values have a very wide range; we made the x-axis log-scaled so the distribution is easier to see. Notice most variants have an FS value less than 10, and almost all variants have an FS value less than 100. However, there are indeed some variants with a value close to 400.

The plot below shows FS values for variants that passed VQSR and failed VQSR.

Notice most of the variants that fail have an FS value greater than 55. Our hard filtering recommendations tell us to fail variants with an FS value greater than 60. Notice that although we are able to remove many false positives by removing variants with FS greater than 60, we still keep many false positive variants. If we move the threshold to a lower value, we risk losing true positive variants.

### RMSMappingQuality (MQ)

This is the root mean square mapping quality over all the reads at the site. Instead of the average mapping quality of the site, this annotation gives the square root of the average of the squares of the mapping qualities at the site. It is meant to include the standard deviation of the mapping qualities. Including the standard deviation allows us to include the variation in the dataset. A low standard deviation means the values are all close to the mean, whereas a high standard deviation means the values are all far from the mean.When the mapping qualities are good at a site, the MQ will be around 60.

Now let’s check out the graph of MQ values for the unfiltered variants. Notice the very large peak around MQ = 60. Our recommendation is to fail any variant with an MQ value less than 40.0. You may argue that hard filtering any variant with an MQ value less than 50 is fine as well. This brings up an excellent point that our hard filtering recommendations are meant to be very lenient. We prefer to keep all potentially decent variants rather than get rid of a few bad variants.

Let’s look at the VQSR pass vs fail variants. At first glance, it seems like VQSR has passed the variants in the high peak and failed any variants not in the peak.

It is hard to tell which variants passed and failed, so let’s zoom in and see what exactly is happening.

The plot above shows the x-axis from 59-61. Notice the variants in blue (the ones that passed) all have MQ around 60. However, some variants in red (the ones that failed) also have an MQ around 60.

### MappingQualityRankSumTest (MQRankSum)

This is the u-based z-approximation from the Rank Sum Test for mapping qualities. It compares the mapping qualities of the reads supporting the reference allele and the alternate allele. A positive value means the mapping qualities of the reads supporting the alternate allele are higher than those supporting the reference allele; a negative value indicates the mapping qualities of the reference allele are higher than those supporting the alternate allele. A value close to zero is best and indicates little difference between the mapping qualities.

Next, let’s look at the distribution of values for MQRankSum in the unfiltered variants. Notice the values range from approximately -10.5 to 6.5. Our hard filter threshold is -12.5. There are no variants in this dataset that have MQRankSum less than -10.5! In this case, hard filtering would not fail any variants based on MQRankSum. Remember, our hard filtering recommendations are meant to be very lenient. If you do plot your annotation values for your samples and find none of your variants have MQRankSum less than -12.5, you may want to refine your hard filters. Our recommendations are indeed recommendations that you the scientist will want to refine yourself.

Looking at the plot of pass VQSR vs fail VQSR variants, we see the variants with an MQRankSum value less than -2.5 fail VQSR. However, the region between -2.5 to 2.5 contains both pass and fail variants. Are you noticing a trend here? It is very difficult to pick a threshold for hard filtering. If we pick -2.5 as our hard filtering threshold, we still have many variants that fail VQSR in our dataset. If we try to get rid of those variants, we will lose some good variants as well. It is up to you to decide how many false positives you would like to remove from your dataset vs how many true positives you would like to keep and adjust your threshold based on that.

This is the u-based z-approximation from the Rank Sum Test for site position within reads. It compares whether the positions of the reference and alternate alleles are different within the reads. Seeing an allele only near the ends of reads is indicative of error, because that is where sequencers tend to make the most errors. A negative value indicates that the alternate allele is found at the ends of reads more often than the reference allele; a positive value indicates that the reference allele is found at the ends of reads more often than the alternate allele. A value close to zero is best because it indicates there is little difference between the positions of the reference and alternate alleles in the reads.

The last annotation we will look at is ReadPosRankSum. Notice the values fall mostly between -4 and 4. Our hard filtering threshold removes any variant with a ReadPosRankSum value less than -8.0. Again, there are no variants in this dataset that have a ReadPosRankSum value less than -8.0, but some datasets might. If you plot your variant annotations and find there are no variants that have a value less than or greater than one of our recommended cutoffs, you will have to refine them yourself based on your annotation plots.

Looking at the VQSR pass vs fail variants, we can see VQSR has failed variants with ReadPosRankSum values less than -1.0 and greater than 3.5. However, notice VQSR has failed some variants that have values that pass VQSR.

Created 2012-08-01 23:04:18 | Updated 2016-03-16 21:58:01 | Tags: selectvariants variantfiltration jexl

### 1. JEXL in a nutshell

JEXL stands for Java EXpression Language. It's not a part of the GATK as such; it's a software library that can be used by Java-based programs like the GATK. It can be used for many things, but in the context of the GATK, it has one very specific use: making it possible to operate on subsets of variants from VCF files based on one or more annotations, using a single command. This is typically done with walkers such as VariantFiltration and SelectVariants.

### 2. Basic structure of JEXL expressions for use with the GATK

In this context, a JEXL expression is a string (in the computing sense, i.e. a series of characters) that tells the GATK which annotations to look at and what selection rules to apply.

JEXL expressions contain three basic components: keys and values, connected by operators. For example, in this simple JEXL expression which selects variants whose quality score is greater than 30:

"QUAL > 30.0"
• QUAL is a key: the name of the annotation we want to look at
• 30.0 is a value: the threshold that we want to use to evaluate variant quality against
• > is an operator: it determines which "side" of the threshold we want to select

The complete expression must be framed by double quotes. Within this, keys are strings (typically written in uppercase or CamelCase), and values can be either strings, numbers or booleans (TRUE or FALSE) -- but if they are strings the values must be framed by single quotes, as in the following example:

"MY_STRING_KEY == 'foo'"

### 3. Evaluation on multiple annotations

You can build expressions that calculate a metric based on two separate annotations, for example if you want to select variants for which quality (QUAL) divided by depth of coverage (DP) is below a certain threshold value:

"QUAL / DP < 10.0"

You can also join multiple conditional statements with logical operators, for example if you want to select variants that have both sufficient quality (QUAL) and a certain depth of coverage (DP):

"QUAL > 30.0 && DP == 10"

where && is the logical "AND".

Or if you want to select variants that have at least one of several conditions fulfilled:

"QD < 2.0 || ReadPosRankSum < -20.0 || FS > 200.0"

where || is the logical "OR".

### 4. Filtering on sample/genotype-level properties

You can also filter individual samples/genotypes in a VCF based on information from the FORMAT field. Variant Filtration will add the sample-level FT tag to the FORMAT field of filtered samples. Note however that this does not affect the record's FILTER tag. This is still a work in progress and isn't quite as flexible and powerful yet as we'd like it to be. For now, you can filter based on most fields as normal (e.g. GQ < 5.0), but the GT (genotype) field is an exception. We have put in convenience methods to enable filtering out heterozygous calls (isHet == 1), homozygous-reference calls (isHomRef == 1), and homozygous-variant calls (isHomVar == 1).

### 5. Important caveats

#### Sensitivity to case and type

You're probably used to case being important (whether letters are lowercase or UPPERCASE) but now you need to also pay attention to the type of value that is involved -- for example, numbers are differentiated between integers and floats (essentially, non-integers). These points are especially important to keep in mind:

• Case

Currently, VCF INFO field keys are case-sensitive. That means that if you have a QUAL field in uppercase in your VCF record, the system will not recognize it if you write it differently (Qual, qual or whatever) in your JEXL expression.

• Type

The types (i.e. string, integer, non-integer or boolean) used in your expression must be exactly the same as that of the value you are trying to evaluate. In other words, if you have a QUAL field with non-integer values (e.g. 45.3) and your filter expression is written as an integer (e.g. "QUAL < 50"), the system will throw a hissy fit (aka a Java exception).

#### Complex queries

We highly recommend that complex expressions involving multiple AND/OR operations be split up into separate expressions whenever possible to avoid confusion. If you are using complex expressions, make sure to test them on a panel of different sites with several combinations of yes/no criteria.

### 6. More complex JEXL magic

Note that this last part is fairly advanced and not for the faint of heart. To be frank, it's also explained rather more briefly than the topic deserves. But if there's enough demand for this level of usage (click the "view in forum" link and leave a comment) we'll consider producing a full-length tutorial.

#### Introducing the VariantContext object

When you use SelectVariants with JEXL, what happens under the hood is that the program accesses something called the VariantContext, which is a representation of the variant call with all its annotation information. The VariantContext is technically not part of GATK; it's part of the variant library included within the Picard tools source code, which GATK uses for convenience.

The reason we're telling you about this is that you can actually make more complex queries than what the GATK offers convenience functions for, provided you're willing to do a little digging into the VariantContext methods. This will allow you to leverage the full range of capabilities of the underlying objects from the command line.

In a nutshell, the VariantContext is available through the vc variable, and you just need to add method calls to that variable in your command line. The bets way to find out what methods are available is to read the VariantContext documentation on the Picard tools source code repository (on SourceForge), but we list a few examples below to whet your appetite.

#### Examples using VariantContext directly

For example, suppose I want to use SelectVariants to select all of the sites where sample NA12878 is homozygous-reference. This can be accomplished by assessing the underlying VariantContext as follows:

java -Xmx4g -jar GenomeAnalysisTK.jar -T SelectVariants -R b37/human_g1k_v37.fasta --variant my.vcf -select 'vc.getGenotype("NA12878").isHomRef()'

Groovy, right? Now here's a more sophisticated example of JEXL expression that finds all novel variants in the total set with allele frequency > 0.25 but not 1, is not filtered, and is non-reference in 01-0263 sample:

! vc.getGenotype("01-0263").isHomRef() && (vc.getID() == null || vc.getID().equals(".")) && AF > 0.25 && AF < 1.0 && vc.isNotFiltered() && vc.isSNP() -o 01-0263.high_freq_novels.vcf -sn 01-0263

#### Examples using the VariantContext to evaluate boolean values

The classic way of evaluating a boolean goes like this:

java -Xmx4g -jar GenomeAnalysisTK.jar -T SelectVariants -R b37/human_g1k_v37.fasta --variant my.vcf -select 'DB'

But you can also use the VariantContext object like this:

java -Xmx4g -jar GenomeAnalysisTK.jar -T SelectVariants -R b37/human_g1k_v37.fasta --variant my.vcf -select 'vc.hasAttribute("DB")'

#### Example using JEXL to evaluate arrays

Sometimes you might want to write a JEXL expression to evaluate e.g. the AD (allelic depth) field in the FORMAT column. However, the AD is technically not an integer; rather it is a list (array) of integers. One can evaluate the array data using the "." operator. Here's an example:

java -Xmx4g -jar GenomeAnalysisTK.jar -T SelectVariants -R b37/human_g1k_v37.fasta --variant my.vcf -select 'vc.getGenotype("NA12878").getAD().0 > 10'

Created 2014-10-17 19:19:39 | Updated 2015-07-06 13:44:00 | Tags: coveragebysample depthofcoverage depthperallelebysample ad dp

### Overview

This document describes the proper use of metrics associated with depth of coverage for the purpose of evaluating variants.

The metrics involved are the following:

• DepthPerAlleleBySample (AD): outputs the depth of coverage of each allele per sample.
• Coverage (DP): outputs the filtered depth of coverage for each sample and the unfiltered depth of coverage across all samples.

For an overview of the tools and concepts involved in performing sequence coverage analysis, where the purpose is to answer the common question: "(Where) Do I have enough sequence data to be empowered to discover variants with reasonable confidence?", please see this document.

### Coverage annotations: DP and AD

The variant callers generate two main coverage annotation metrics: the allele depth per sample (AD) and overall depth of coverage (DP, available both per sample and across all samples, with important differences), controlled by the following annotator modules:

• DepthPerAlleleBySample (AD): outputs the depth of coverage of each allele per sample.
• Coverage (DP): outputs the filtered depth of coverage for each sample and the unfiltered depth of coverage across all samples.

At the sample level, these annotations are highly complementary metrics that provide two important ways of thinking about the depth of the data available for a given sample at a given site. The key difference is that the AD metric is based on unfiltered read counts while the sample-level DP is based on filtered read counts (see tool documentation for a list of read filters that are applied by default for each tool). As a result, they should be interpreted differently.

The sample-level DP is in some sense reflective of the power I have to determine the genotype of the sample at this site, while the AD tells me how many times I saw each of the REF and ALT alleles in the reads, free of any bias potentially introduced by filtering the reads. If, for example, I believe there really is a an A/T polymorphism at a site, then I would like to know the counts of A and T bases in this sample, even for reads with poor mapping quality that would normally be excluded from the statistical calculations going into GQ and QUAL.

Note that because the AD includes reads and bases that were filtered by the caller (and in case of indels, is based on a statistical computation), it should not be used to make assumptions about the genotype that it is associated with. Ultimately, the phred-scaled genotype likelihoods (PLs) are what determines the genotype calls.

TO BE CONTINUED...

Created 2012-07-23 16:49:34 | Updated 2016-03-16 21:45:56 | Tags: variantrecalibrator vqsr applyrecalibration vcf callset variantrecalibration

This document describes what Variant Quality Score Recalibration (VQSR) is designed to do, and outlines how it works under the hood. The first section is a high-level overview aimed at non-specialists. Additional technical details are provided below.

For command-line examples and recommendations on what specific resource datasets and arguments to use for VQSR, please see this FAQ article. See the VariantRecalibrator tool doc and the ApplyRecalibration tool doc for a complete description of available command line arguments.

As a complement to this document, we encourage you to watch the workshop videos available in the Presentations section.

## High-level overview

VQSR stands for “variant quality score recalibration”, which is a bad name because it’s not re-calibrating variant quality scores at all; it is calculating a new quality score that is supposedly super well calibrated (unlike the variant QUAL score which is a hot mess) called the VQSLOD (for variant quality score log-odds). I know this probably sounds like gibberish, stay with me. The purpose of this new score is to enable variant filtering in a way that allows analysts to balance sensitivity (trying to discover all the real variants) and specificity (trying to limit the false positives that creep in when filters get too lenient) as finely as possible.

The basic, traditional way of filtering variants is to look at various annotations (context statistics) that describe e.g. what the sequence context is like around the variant site, how many reads covered it, how many reads covered each allele, what proportion of reads were in forward vs reverse orientation; things like that -- then choose threshold values and throw out any variants that have annotation values above or below the set thresholds. The problem with this approach is that it is very limiting because it forces you to look at each annotation dimension individually, and you end up throwing out good variants just because one of their annotations looks bad, or keeping bad variants in order to keep those good variants.

The VQSR method, in a nutshell, uses machine learning algorithms to learn from each dataset what is the annotation profile of good variants vs. bad variants, and does so in a way that integrates information from multiple dimensions (like, 5 to 8, typically). The cool thing is that this allows us to pick out clusters of variants in a way that frees us from the traditional binary choice of “is this variant above or below the threshold for this annotation?”

Let’s do a quick mental visualization exercise (pending an actual figure to illustrate this), in two dimensions because our puny human brains work best at that level. Imagine a topographical map of a mountain range, with North-South and East-West axes standing in for two variant annotation scales. Your job is to define a subset of territory that contains mostly mountain peaks, and as few lowlands as possible. Traditional hard-filtering forces you to set a single longitude cutoff and a single latitude cutoff, resulting in one rectangular quadrant of the map being selected, and all the rest being greyed out. It’s about as subtle as a sledgehammer and forces you to make a lot of compromises. VQSR allows you to select contour lines around the peaks and decide how low or how high you want to go to include or exclude territory within your subset.

How this is achieved is another can of worms. The key point is that we use known, highly validated variant resources (omni, 100 Genomes, hapmap) to select a subset of variants within our callset that we’re really confident are probably true positives (that’s the training set). We look at the annotation profiles of those variants (in our own data!), and we from that we learn some rules about how to recognize good variants. We do something similar for bad variants as well. Then we apply the rules we learned to all of the sites, which (through some magical hand-waving) yields a single score for each variant that describes how likely it is based on all the examined dimensions. In our map analogy this is the equivalent of determining on which contour line the variant sits. Finally, we pick a threshold value indirectly by asking the question “what score do I need to choose so that e.g. 99% of the variants in my callset that are also in hapmap will be selected?”. This is called the target sensitivity. We can twist that dial in either direction depending on what is more important for our project, sensitivity or specificity.

## Technical overview

The purpose of variant recalibration is to assign a well-calibrated probability to each variant call in a call set. This enables you to generate highly accurate call sets by filtering based on this single estimate for the accuracy of each call.

The approach taken by variant quality score recalibration is to develop a continuous, covarying estimate of the relationship between SNP call annotations (QD, SB, HaplotypeScore, HRun, for example) and the the probability that a SNP is a true genetic variant versus a sequencing or data processing artifact. This model is determined adaptively based on "true sites" provided as input (typically HapMap 3 sites and those sites found to be polymorphic on the Omni 2.5M SNP chip array, for humans). This adaptive error model can then be applied to both known and novel variation discovered in the call set of interest to evaluate the probability that each call is real. The score that gets added to the INFO field of each variant is called the VQSLOD. It is the log odds ratio of being a true variant versus being false under the trained Gaussian mixture model.

The variant recalibrator contrastively evaluates variants in a two step process, each performed by a distinct tool:

• VariantRecalibrator
Create a Gaussian mixture model by looking at the annotations values over a high quality subset of the input call set and then evaluate all input variants. This step produces a recalibration file.

• ApplyRecalibration
Apply the model parameters to each variant in input VCF files producing a recalibrated VCF file in which each variant is annotated with its VQSLOD value. In addition, this step will filter the calls based on this new lod score by adding lines to the FILTER column for variants that don't meet the specified lod threshold.

Please see the VQSR tutorial for step-by-step instructions on running these tools.

### How VariantRecalibrator works in a nutshell

The tool takes the overlap of the training/truth resource sets and of your callset. It models the distribution of these variants relative to the annotations you specified, and attempts to group them into clusters. Then it uses the clustering to assign VQSLOD scores to all variants. Variants that are closer to the heart of a cluster will get a higher score than variants that are outliers.

### How ApplyRecalibration works in a nutshell

During the first part of the recalibration process, variants in your callset were given a score called VQSLOD. At the same time, variants in your training sets were also ranked by VQSLOD. When you specify a tranche sensitivity threshold with ApplyRecalibration, expressed as a percentage (e.g. 99.9%), what happens is that the program looks at what is the VQSLOD value above which 99.9% of the variants in the training callset are included. It then takes that value of VQSLOD and uses it as a threshold to filter your variants. Variants that are above the threshold pass the filter, so the FILTER field will contain PASS. Variants that are below the threshold will be filtered out; they will be written to the output file, but in the FILTER field they will have the name of the tranche they belonged to. So VQSRTrancheSNP99.90to100.00 means that the variant was in the range of VQSLODs corresponding to the remaining 0.1% of the training set, which are basically considered false positives.

### Interpretation of the Gaussian mixture model plots

The variant recalibration step fits a Gaussian mixture model to the contextual annotations given to each variant. By fitting this probability model to the training variants (variants considered to be true-positives), a probability can be assigned to the putative novel variants (some of which will be true-positives, some of which will be false-positives). It is useful for users to see how the probability model was fit to their data. Therefore a modeling report is automatically generated each time VariantRecalibrator is run (in the above command line the report will appear as path/to/output.plots.R.pdf). For every pair-wise combination of annotations used in modeling, a 2D projection of the Gaussian mixture model is shown.

The figure shows one page of an example Gaussian mixture model report that is automatically generated by the VQSR from the example HiSeq call set. This page shows the 2D projection of mapping quality rank sum test versus Haplotype score by marginalizing over the other annotation dimensions in the model.

In each page there are four panels which show different ways of looking at the 2D projection of the model. The upper left panel shows the probability density function that was fit to the data. The 2D projection was created by marginalizing over the other annotation dimensions in the model via random sampling. Green areas show locations in the space that are indicative of being high quality while red areas show the lowest probability areas. In general putative SNPs that fall in the red regions will be filtered out of the recalibrated call set.

The remaining three panels give scatter plots in which each SNP is plotted in the two annotation dimensions as points in a point cloud. The scale for each dimension is in normalized units. The data for the three panels is the same but the points are colored in different ways to highlight different aspects of the data. In the upper right panel SNPs are colored black and red to show which SNPs are retained and filtered, respectively, by applying the VQSR procedure. The red SNPs didn't meet the given truth sensitivity threshold and so are filtered out of the call set. The lower left panel colors SNPs green, grey, and purple to give a sense of the distribution of the variants used to train the model. The green SNPs are those which were found in the training sets passed into the VariantRecalibrator step, while the purple SNPs are those which were found to be furthest away from the learned Gaussians and thus given the lowest probability of being true. Finally, the lower right panel colors each SNP by their known/novel status with blue being the known SNPs and red being the novel SNPs. Here the idea is to see if the annotation dimensions provide a clear separation between the known SNPs (most of which are true) and the novel SNPs (most of which are false).

An example of good clustering for SNP calls from the tutorial dataset is shown to the right. The plot shows that the training data forms a distinct cluster at low values for each of the two statistics shown (haplotype score and mapping quality bias). As the SNPs fall off the distribution in either one or both of the dimensions they are assigned a lower probability (that is, move into the red region of the model's PDF) and are filtered out. This makes sense as not only do higher values of HaplotypeScore indicate a lower chance of the data being explained by only two haplotypes but also higher values for mapping quality bias indicate more evidence of bias between the reference bases and the alternative bases. The model has captured our intuition that this area of the distribution is highly enriched for machine artifacts and putative variants here should be filtered out!

### Tranches and the tranche plot

The recalibrated variant quality score provides a continuous estimate of the probability that each variant is true, allowing one to partition the call sets into quality tranches. The main purpose of the tranches is to establish thresholds within your data that correspond to certain levels of sensitivity relative to the truth sets. The idea is that with well calibrated variant quality scores, you can generate call sets in which each variant doesn't have to have a hard answer as to whether it is in or out of the set. If a very high accuracy call set is desired then one can use the highest tranche, but if a larger, more complete call set is a higher priority than one can dip down into lower and lower tranches. These tranches are applied to the output VCF file using the FILTER field. In this way you can choose to use some of the filtered records or only use the PASSing records.

The first tranche (90) which has the lowest value of truth sensitivity but the highest value of novel Ti/Tv, is exceedingly specific but less sensitive. Each subsequent tranche in turn introduces additional true positive calls along with a growing number of false positive calls. Downstream applications can select in a principled way more specific or more sensitive call sets or incorporate directly the recalibrated quality scores to avoid entirely the need to analyze only a fixed subset of calls but rather weight individual variant calls by their probability of being real. An example tranche plot, automatically generated by the VariantRecalibrator walker, is shown below.

This is an example of a tranches plot generated for a HiSeq call set. The x-axis gives the number of novel variants called while the y-axis shows two quality metrics -- novel transition to transversion ratio and the overall truth sensitivity.

Note that the tranches plot is not applicable for indels and will not be generated when the tool is run in INDEL mode.

### Ti/Tv-free recalibration

We use a Ti/Tv-free approach to variant quality score recalibration. This approach requires an additional truth data set, and cuts the VQSLOD at given sensitivities to the truth set. It has several advantages over the Ti/Tv-targeted approach:

• The truth sensitivity (TS) approach gives you back the novel Ti/Tv as a QC metric
• The truth sensitivity (TS) approach is conceptual cleaner than deciding on a novel Ti/Tv target for your dataset
• The TS approach is easier to explain and defend, as saying "I took called variants until I found 99% of my known variable sites" is easier than "I took variants until I dropped my novel Ti/Tv ratio to 2.07"

We have used hapmap 3.3 sites as the truth set (genotypes_r27_nr.b37_fwd.vcf), but other sets of high-quality (~99% truly variable in the population) sets of sites should work just as well. In our experience, with HapMap, 99% is a good threshold, as the remaining 1% of sites often exhibit unusual features like being close to indels or are actually MNPs, and so receive a low VQSLOD score.
Note that the expected Ti/Tv is still an available argument but it is only used for display purposes.

### Finally, a couple of Frequently Asked Questions

#### - Can I use the variant quality score recalibrator with my small sequencing experiment?

This tool is expecting thousands of variant sites in order to achieve decent modeling with the Gaussian mixture model. Whole exome call sets work well, but anything smaller than that scale might run into difficulties.

One piece of advice is to turn down the number of Gaussians used during training. This can be accomplished by adding --maxGaussians 4 to your command line.

maxGaussians is the maximum number of different "clusters" (=Gaussians) of variants the program is "allowed" to try to identify. Lowering this number forces the program to group variants into a smaller number of clusters, which means there will be more variants in each cluster -- hopefully enough to satisfy the statistical requirements. Of course, this decreases the level of discrimination that you can achieve between variant profiles/error modes. It's all about trade-offs; and unfortunately if you don't have a lot of variants you can't afford to be very demanding in terms of resolution.

#### - Why don't all the plots get generated for me?

The most common problem related to this is not having Rscript accessible in your environment path. Rscript is the command line version of R that gets installed right alongside. We also make use of the ggplot2 library so please be sure to install that package as well. See the Common Problems section of the Guide for more details.

Created 2015-10-21 15:43:33 | Updated 2015-10-28 13:40:14 | Tags:

#### Default modules:

• CompOverlap: gives concordance metrics based on the overlap between the evaluation and comparison file
• CountVariants: counts different types (SNP, insertion, complex, etc.) of variants present within your evaluation file and gives related metrics
• IndelLengthHistogram: gives a table of values for plotting a histogram of indel lengths found in your evaluated variants.
• IndelSummary: gives metrics related to insertions and deletions (count, multiallelic sites, het-hom ratios, etc.)
• MultiallelicSummary: gives metrics relevant to multiallelic variant sites, including amount, ratio, and TiTv
• TiTvVariantEvaluator: gives the number and ratio of transition and transversion variants for your evaluation file, comparison file, and ancestral alleles
• ValidationReport: details the sensitivity and specificity of your callset, given follow-up validation assay data
• VariantSummary: gives a summary of metrics related to SNPs and indels

#### Other available modules:

• MendelianViolationEvaluator: detects and counts Mendelian violations, given data from parent samples.
• PrintMissingComp: returns the number of variant sites present in your callset that were not found in the truth set.
• ThetaVariantEvaluator: computes different estimates of theta based on variant sites and genotypes
• MetricsCollection: includes all minimum metrics discussed in [this article]() (link to follow; document in progress). Runs by default if CompOverlap, IndelSummary, TiTvVariantEvaluator, CountVariants, & MultiallelicSummary are run as well. (included in the nightly build for immediate use or in the next release of GATK) * At the time of writing, the listed modules were present. To check modules present in your specific GATK version, use the -list command.

### General

Each table has a few columns of data that will be the same across multiple evaluation modules. To avoid listing them multiple times, they will be specified here

Example Output *

• CompOverlap- In the above example, we see the first column is the CompOverlap. This first column will always be the name of the evaluation module you are currently viewing. IndelSummary will say "IndelSummary", CountVariants will say "CountVariants" and so on.
• CompRod- shows which file is being compared to the eval for that row. By default, this is dbsnp, but you can specify additional comparison files using -comp, and name them using :. E.g. -comp:name \path\to\file.vcf where name is the name you wish to specify for the CompRod column and \path\to\file.vcf is your comparison file. If left unnamed, these additional comparison files will default to "comp" in the CompRod column.
• EvalRod- shows which file is being evaluated. This is useful when specifying multiple eval files. They can be named using the : notation as above. When unnamed, they will default to "eval" in the EvalRod column.
• JexlExpression- a Jexl query that was applied to the file. For details on Jexl expressions, please read about them here
• Novelty- has three possible values; all, known, and novel. "Novel" includes anything seen exclusively in the eval that is not seen in the comp. "Known" includes anything seen in both the eval and the comp. "All" is the sum of "Novel" and "Known". By default, the comp used to determine novelty is dbsnp. To change this, you must specify -knownName with the new comparison file you have passed in.

*Output from a rare variant association study with >1500 whole genome sequenced samples

### CompOverlap

Example Output *

• nEvalVariants- the number of variants in the eval file
• novelSites- the number of variants in the eval considered to be novel in comparison to dbsnp (same as novel row of nEvalVariants column)
• nVariantsAtComp- the number of variants present in eval that match the location of a variant in the comparison file (same as known row of nEvalVariants)
• compRate- nVariantsAtComp divided by nEvalVariants
• nConcordant- the number of variants present in eval that exactly match the genotype present in the comparison file
• concordantRate- nConcordant divided by nVariantsAtComp

*Output from a rare variant association study with >1500 whole genome sequenced samples

### CountVariants

Example Output *

• nProcessedLoci- the number of loci iterated over in the reference file (also found in MultiallelicSummary)
• nCalledLoci- the number of loci called in the eval file
• nRefLoci- the number of loci in eval that matched the reference file
• nVariantLoci- the number of loci in eval that did not match the reference file
• variantRate- nVariantLoci divided by nProcessedLoci
• variantRatePerBp- nProcessedLoci divided by nVariantLoci (a truncated integer)
• nSNPs- the number of variants determined to be single-nucleotide polymorphisms
• nMNPs- the number of variants determined to be multi-nucleotide polymorphisms
• nInsertions- the number of variants determined to be insertions
• nDeletions- the number of variants determined to be deletions
• nComplex- the number of variants determined to be complex (both insertions and deletions)
• nSymbolic- the number of variants determined to be symbolic
• nMixed- the number of variants determined to be mixed (cannot be determined to be SNPs, MNPs, or indels)
• nNoCalls- the number of sites at which there was no variant call made
• nHets- the number of heterozygous loci
• nHomRef- the number of homozygous reference loci
• nHomVar- the number of homozygous variant loci
• nSingletons- the number of variants determined to be singletons (occur only once)
• nHomDerived- the number of homozygous derived variants; an ancestor had a variant at that site, but the descendant in question no longer has a variant at that site and is now homozygous reference.
• heterozygosity- nHets divided by nProcessedLoci
• heterozygosityPerBp- nProcessedLoci divided by nHets (a truncated integer)
• hetHomRatio- nHets divided by nHomVar
• indelRate- nInsertions plus nDeletions plus nComplex all divided by nProcessedLoci
• indelRatePerBp- nProcessedLoci divided by the sum of nInsertions, nDeletions, and nComplex (a truncated integer)
• insertionDeletionRatio- nInsertions divided by nDeletions

*Output from a rare variant association study with >1500 whole genome sequenced samples

### IndelSummary

Example Output *

• n_SNPs- the number of SNPs (multiallelic SNPs are counted once for each allele)
• n_singleton_SNPs- the number of SNP singleton loci (SNPs seen only once)
• n_indels- the number of indels (multiallelic indels are counted once for each allele)
• n_singleton_indels- the number of indel singleton loci (indels seen only once)
• n_indels_matching_gold_standard- the number of indel loci that match indels in the gold standard (must pass in a -gold parameter)
• gold_standard_matching_rate- n_indels_matching_gold_standard divided by n_indels
• n_multiallelic_indel_sites- the number of indel sites that are multiallelic
• percent_of_sites_with_more_than_2_alleles- n_multiallelic_indel_sites divided by the total number of indel sites
• SNP_to_indel_ratio- n_SNPs divided by n_indels
• SNP_to_indel_ratio_for_singletons- n_singleton_SNPs divided by n_singleton_indels
• n_novel_indels- number of indels considered to be novel in comparison to dbsnp (the novel row of the n_indels column gives the same information)
• indel_novelty_rate- n_novel_indels divided by n_indels
• n_insertions- the number of insertion variants
• n_deletions- the number of deletion variants
• insertion_to_deletion_ratio- n_insertions divided by n_deletions
• n_large_deletions- number of deletions with a length greater than 10
• n_large_insertions- number of insertions with a length greater than 10
• insertion_to_deletion_ratio_for_large_indels- n_large_insertions divided by n_large_deletions
• n_coding_indels_frameshifting- the number of indels within the coding regions of the genome which cause a frameshift
• n_coding_indels_in_frame- the number of indels within the coding regions of the genome which do not cause a frameshift
• frameshift_rate_for_coding_indels- n_coding_indels_frameshifting divided by the sum of n_coding_indels_frameshifting and n_coding_indels_in_frame
• SNP_het_to_hom_ratio- the number of heterozygous SNPs divided by the number of homozygous variant SNPs
• indel_het_to_hom_ratio- the number of heterozygous indels divided by the number of homozygous variant indels
• ratio_of_1_and_2_to_3_bp_insertions- the sum of one and two base pair insertions divided by three base pair insertions
• ratio_of_1_and_2_to_3_bp_deletions- the sum of one and two base pair deletions divided by three base pair deletions

*Output from a rare variant association study with >1500 whole genome sequenced samples

### TiTvVariantEvaluator

Example Output *

• nTi- number of transition variants in eval (A↔G or T↔C)
• nTv- number of transversion variants in eval (A↔T or G↔C)
• tiTvRatio- nTi divided by nTv
• nTiInComp- number of transition variants present in the comparison file
• nTvInComp- number of transversion variants present in the comparison file
• TiTvRatioStandard- nTiInComp divided by nTvInComp
• nTiDerived- number of transition variants derived from ancestral alleles
• nTvDerived- number of transversion variants derived from ancestral alleles
• tiTvDerivedRatio- nTiDerived divided by nTvDerived

*Output from a rare variant association study with >1500 whole genome sequenced samples

### MultiallelicSummary

Example Output *

• nProcessedLoci- number of loci iterated over in the reference file (also found in CountVariants)
• nSNPs- number of SNPs (multiallelic SNPs are only counted once overall)
• nMultiSNPs- number of multiallelic SNPs (again, only counted once per loci)
• processedMultiSnpRatio- nMultiSNPs divided by nProcessedLoci
• variantMultiSnpRatio- nMultiSNPs divided by nSNPs
• nIndels- number of indels (multiallelic indels are only counted once overall)
• nMultiIndels- number of multiallelic indels (again, only counted once per loci)
• processedMultiIndelRatio- nMultiIndels divided by nProcessedLoci
• variantMultiIndelRatio- nMultiIndels divided by nIndels
• nTi- number of transition variants at multiallelic sites
• nTv- number of transversion variants at multiallelic sites
• TiTvRatio- nTi divided by nTv
• knownSNPsPartial- the number of loci at which at least one allele in eval was found in the known comparison file (applies only to multiallelic sites)
• knownSNPsComplete- the number of loci at which all alleles in eval were also found in the known comparison file (applies only to multiallelic sites)
• SNPNoveltyRate- the sum of knownSNPsPartial and knownSNPsComplete divided by nMultiSNPs

*Output from a rare variant association study with >1500 whole genome sequenced samples