Behavioral Genetics PDF

Behavioral Genetics
An introduction to how genes and environments

interact through development to shape differences
in mood, personality, and intelligence
BY C ATHERINE BAKER
A tool to inform public discussion of

behavioral genetic research
and its broader social implications
Prepared for a project conducted by the

American Association for
the Advancement of Science
and The Hastings Center
For Carolyn, my genetic equivalent
Printed in the United States of America Additional copies of this report

are available from:
ISBN 0-87168-697-X AAAS Scientific Freedom,
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Preparation and publication of this volume was supported by a grant from the National
Human Genome Research Institute (RO1 HG001873) and by contributions to the
AAAS Fund for Excellence designated for the Directorate for Science & Policy Porgrams.
II BEHAVIORAL GENETICS
TABLE OF CONTENTS
Preface. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI–VII
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII–X
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XI
1. What is behavioral genetics? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Margaret, an ambitious mother . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Defining behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2–3
Forms of behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3–4
Behavioral genetics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4–5
Margaret’s ambition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5–6
Science in society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2. How do genes work within their environments? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Hoda, a perplexed nurse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
The human genome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Function of the human genome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10–13
Variety within the human genome. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13–14
Similarity across genomes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14–15
Imagining the genome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16–17
Behavior and the genome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17–18
Hoda’s perplexity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18–20
Some caveats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20–21
3. How do environments impinge upon genes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Skip, a regretful man. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Environment illustrated . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26–28
Gene/environment interactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28–29
Developmental noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Gene/environment correlations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Shared and nonshared environments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31–33
Heritability (and environmentability) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33–34
Skip’s regrets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34–35
Developmental pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
TABLE OF CONTENTS III

4. How is genetic research on behavior conducted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Anja, an identical twin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Animal studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40–41
Family studies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Twin studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42–44
Adoption studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44–45
Combined studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Linkage analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45–47
Association studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Microarray analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48–49
Knockout studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49–50
Anja’s question. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50–51
Concerns about non-molecular research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51–53
Concerns about molecular research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54–55
Overcoming the research concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55–56
5. How do mental disorders emerge from the mix of genes and environments? . . . . . . 59
Lamar, a man with bad news . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Genotype/phenotype complexity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60–62
More genotype/phenotype complexity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62–63
Polygenic disorders: complexity multiplied . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63–64
Schizophrenia, a polygenic disorder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64–65
Bipolar disorder, also polygenic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66–67
Research challenges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67–68
Lamar’s dilemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68–70
Normal and abnormal traits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
IV BEHAVIORAL GENETICS
6. How is the ability to control impulses affected by genes and environments? . . . . . . . 75
Trevor, in trouble with the law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Impulsive behavior and ADHD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76–78
Is ADHD a disorder or a trait? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78–79
Novelty-seeking: a positive impulsive trait . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Antisocial personality: a negative impulsive trait . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80–82
Criminality: a legal description, not a trait . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82–83
Research into criminality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83–85
The myth of “genes for criminality” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85–87
Trevor’s defense. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87–89
Potential research consequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89–90
Treatment concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90–92
Other research concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92–93
7. How is intellect molded by genes and environments? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Mr. Huang, a puzzled patriarch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Defining intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
History of intelligence testing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98–101
Measuring g. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101–103
Quantitative research into intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103–105
Molecular research into intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105–107
Predicting individual intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107–109
Mr. Huang’s speculations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109–110
Accounting for disparities in population IQs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110–114
Eugenic concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114–116
Glossary/Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119–130
Project Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
NOTE: Words contained in the glossary/index are blue where they first appear in
Chapters 1 through 7.
TABLE OF CONTENTS V
Preface
Behavioral geneticists aim at no less than showing us how genes help to explain why
we behave the way we do. One big reason they do their work is that understanding
why we behave the way we do is inherently interesting. The second big reason is that
they hope their work eventually will lead to curing behavioral disorders as different
as alcoholism and schizophrenia. Today they are far from understanding how genes
influence those behaviors, but that is their goal.
One might think that such a fascinating field would by now have spawned many
brief introductions for lay readers. But that hasn’t happened. Part of the explanation for
this gap is that the science is complicated. Part of the explanation is that the subject
matter of behavioral genetics—mental disease, personality, intelligence—is controver-
sial. Moreover, in the past, research in behavioral genetics has been used to support
hateful prejudices, and so perhaps this has led many otherwise-interested writers to
steer clear of the topic.
The process that led to this book was started in 1999 as part of a project to explore
ideas for improving the public’s understanding of behavioral genetics and to fill the void
described above. A series of meetings brought together genetic researchers, social
scientists, lawyers, and ethicists. Participants shared their knowledge of the science and
together explored the question, "What does the public need to know to understand and
talk about behavioral genetics?" An experienced writer (not a scientist) listened, asked
questions, took notes, and read the papers contributed by participants for another
project product, a scholarly volume. Then she started drafting this book, which was
subsequently reviewed at several stages by project participants. The result is, we think,
a work that is both instructive and a delight to read.
Each chapter begins with a fictional but plausible anecdote about an individual with
a question that has to do with behavior. These anecdotes set the genetic science into a
real world context. They start readers thinking about basic questions such as, How do
behavioral geneticists study the connection between genes and behavior? Can those
studies tell me anything about why I act the way I do? Can they tell me anything about
the chances that I can make my child do well or badly in life? And so forth. With the
story as the hook, readers are pulled into each chapter, where they are introduced to
the scientific concepts that can help answer the fictional character’s question.
Writing about behavioral genetics is like building a structure on shifting sands.
Each day, new discoveries are being made, previously heralded claims are being revised,
and new paradigms for the relationship between genes and behavior are being
proposed. For example, as this book explains in Chapter 2, the human genome used to
be compared to a codebook, a book of life, or an encyclopedia. But today scientists
VI BEHAVIORAL GENETICS
recognize that the genome is much more dynamic than any kind of book and so new
metaphors are being tried out — metaphors that may or may not stick with time,
depending on what researchers learn next.
Despite the difficulty of capturing a fast-moving subject, we believe this text succeeds
as an introduction to the field. It should help readers obtain a firm grounding in the
basic science and the tools used by researchers to explore the contribution of the genes
(and their essential counterpart, the environment) to behavior. Readers should come
away with a vocabulary for discussing the science and with a sense of what genetic
science can tell us and do for us, and what its limitations are.
This text describes the promise of — and the problems with — the complex science
of behavioral genetics in a way that should be accessible to a broad audience, from high
school and college students with an interest in science to the educated lay person
whose family may be experiencing events similar to those portrayed in the book’s
stories. If you want to see where the fascinating and sometimes controversial science of
behavioral genetics is headed in the 21st century, you’ve come to the right place.
As the lead investigators for the larger project, we are indebted to the staff at the
Ethical, Legal and Social Implications Research Program at the National Human Genome
Research Institute, especially Joy Boyer and Elizabeth Thomson, for their generous
support of our work (RO1 HG001873). We are also deeply grateful to Elving Anderson
for, at every step of this project, giving so generously of his time and knowledge, as well
as to the many project participants (listed on page 131) who contributed their expertise
to the preparation of this volume. Finally, we thank Catherine Baker for her tireless work
to understand and then describe for you the work of behavioral genetics.
If you would like to read the special supplement of the Hastings Center Report,
which summarizes the findings of the project that produced this introduction to behav-
ioral genetics, or you would like to learn more about the volume of essays for advanced
students and scholars, please visit our website at http://www.aaas.org/spp/bgenes,
where this volume is also available.
Erik Parens Mark S. Frankel Audrey R. Chapman

The Hastings Center AAAS AAAS
PREFACE VII
Introduction
Why do humans range so widely in their susceptibility to mental illness, in their will-
ingness to take risks, and in their performance on intelligence tests? One answer to this
question comes from scientists in the field of behavioral genetics. They say that the vari-
ation in behavioral traits across a population is due, in part, to the genes. So many studies
have pointed to connections between genes and particular behaviors that most scientists
now feel comfortable stating that there is such a link for every possible behavior.
But what does it really mean to say that there is a link between genes and behavior?
Does it mean that there is a gene that makes some of us blush when embarrassed;
that there is one gene that makes you prefer classical music and another gene that
makes you dislike it; that there is a bunch of genes that each provides for different levels
of skill in playing poker? The answer to all these questions is no. Does it mean behavior
passes down from generation to generation, i.e., is inherited, just like baldness and
eye color? Again, the answer is no.
So when next you see an article that proclaims, “Gene for [insert a human behavior
here] discovered,” read it with a critical eye. Or when you next hear someone say,
“He inherited his [insert a human behavior here] from his father,” receive that with
skepticism, too.
The pervasive role of genes in behavior does not mean what it is commonly
misunderstood to mean. It does not mean that a gene or even several genes can make
you act in any particular way. It does not mean that a behavior can “pass down through
the genes.” Such claims are not accepted in behavioral genetics.
It does mean that genes play a vital role in the body’s development and physiology,
and it is through the body, acting in response to and upon surrounding environments,
that behavior manifests itself. So while we do inherit our genes, we do not inherit
behavior traits in any fixed sense. The effect of our given set of genes on our behavior
is entirely dependent upon the context of our life as it unfolds day to day.
Nonetheless, we have tended to assign the genes a grander role. Perhaps one reason
why we tend to inflate the role of genes in behavior is that there is no good verb to use
when talking about them. It’s clearly wrong to say that genes control behavior.
We might instead say that genes influence behavior, that genes impinge upon behavior,
that genes are implicated in behavior, or that they help instigate the cellular activity
through which behavior is executed. None of these constructions are quite right, either.
It is very difficult to capture in a single verb the gene-behavior relationship, because
the way in which genes relate to behavior is complex, indirect, and highly nuanced.
It is contingent upon events inside and outside the body — such as diet and features of
upbringing — and it is modulated over time. If you keep all these things in mind, it can
VIII BEHAVIORAL GENETICS

help you think more coherently about the questions that naturally arise, such as:
• Is our potential predetermined at conception?
• Are we powerless to control our thoughts and actions?
• Will our children turn out a certain way no matter how we raise them?
The answer to each of these questions is once again a resounding no. Genes are not
enough. They have little predictive power at the level of the individual and they do not
override the many other influences on behavior. In fact, it’s fair to claim the following
statement, though it is unproven and probably unprovable:
Based on your genes, no one can say what kind of human being
you will turn out to be or what you will do in life.
If you can only learn one thing about behavioral genetics, that statement should be
it. But if you would like to obtain a more sophisticated and deeper understanding of this
subject, please read the rest of this book. You will find straightforward definitions
of genes and environments. You will learn how genes operate within a sensitive and
complicated network involving other DNA elements and proteins and in specific
environments throughout the development of an individual. You will gain an under-
standing of how behavioral genetic research is conducted, particularly in regard to three
topics that have been the focus of much of the research in this field: mood disorders,
impulsivity, and intelligence. Finally, you will be introduced to the ways in which
behavioral genetic research can affect individuals and society at large.
If you read this book, you also will learn about some of the contentious debates that
surround behavioral genetics. Scholars argue about the quality of the field’s research
methods. They disagree about the significance of findings. They question whether the
benefits from behavioral genetic research will outweigh the drawbacks.
This last concern stems in part from this field’s historic connection to eugenics.
This was a doctrine, first emerging in the late 1800’s, which held that some people are
innately superior due to their genes and therefore those persons should reproduce more
than others. Eugenic policy became official practice in many countries, ranging from
involuntary sterilization of those deemed unfit in the U.S. and other countries to mass
murder of those deemed unsuitable in Nazi Germany. After World War II, overtly
eugenic attitudes were forced underground. Nonetheless, there are people today who
continue to manipulate and sensationalize science, consciously or subconsciously,
to justify social inequities and prejudices.
Many people fear that preliminary and unconfirmed studies, unwarranted conclu-
sions, and misinterpreted data from behavioral genetic research will be used to support
INTRODUCTION IX
modern eugenic policies that maintain privilege and unfairness. They worry that find-
ings from behavioral genetic research will be manipulated to promote prejudice, spread
discrimination, invade privacy, and foster unequal treatment under the law. They also
worry that as a genetically based definition of normal human behavior advances,
the range of socially acceptable human behavior will shrink.
On the other hand, many people are frustrated by so-called “hand-wringing
Jeremiahs” who dwell on the problems that could potentially emerge from behavioral
genetic research. The people with this view assert that behavior is a worthy avenue of
exploration. They believe that studying the genes is one way — one way among many
— to learn about behavior. They think that the acquisition of knowledge is good,
even knowledge about something as personal and revealing as our own behavior.
Indeed, they believe that such knowledge could improve the lives of individuals as well
as humanity at large. They acknowledge that the scientific methodology in behavioral
genetics is imperfect, but no more so than in any other relatively new field of
exploration. Though they share concern about the misuse of information from behav-
ioral genetics, they believe that the pursuit of this knowledge offers more advantages
than disadvantages.
This book is the product of a project that brought together advocates and skeptics.
The partners in this project share the conviction that an informed public understanding
of the principles of genetic science and behavioral research can be an antidote against
premature and faulty claims and the misapplication of findings. Our intent with this
book is to help non-scientists like yourself gain a better understanding of concepts and
terms in behavioral genetics. This education can help you better evaluate what you read
and hear about behavioral genetics. It can help you become your own judge of infor-
mation. And to some extent, it might help you better understand your own behavior.
X BEHAVIORAL GENETICS
Acknowledgements
This book results from a four-year project of The Hastings Center and the American
Association for the Advancement of Science. The subject of this project was “Tools for
Public Conversation about Behavioral Genetics.” Early on, project participants decided
that a useful tool to foster conversation would be an easy-to-read primer on behavioral
genetic research for an audience of interested nonscientists.
The text was shaped by the papers presented and discussions that took place at five
meetings of the project’s working group and a final conference that was open to the
public. Project participants are listed on page 131. My thanks go to each of them.
I am particularly indebted to the following persons who provided specific comments
on, and corrections to, parts of this manuscript at various stages in its development:
Elving Anderson, Jon Beckwith, Greg Carey, Troy Duster, Marcus Feldman, Mark S.
Frankel, Irving I. Gottesman, and John Loehlin. Special acknowledgement goes to
Elving, who answered many questions and served as coach, and to Irving, who con-
stantly brought relevant articles to my attention and who was helpfully specific in his
suggestions for the text. I give tremendous thanks to Lee Ehrman, who reviewed the
entire manuscript with a very sharp scientific and editorial eye, and to Kenneth
Schaffner, who also conducted a thorough critique of the whole draft.
Members of the project’s management team gave me valuable support through this long
writing project: Audrey Chapman, Mark S. Frankel, Erik Parens, Nancy Press, and Elving.
I also am grateful to designer Beth Elzer at AAAS; she did a fine job with an unwieldy set
of computer files and an anxious writer. Kevin Alleman, Christine Bellordre, Bryn Lander,
Clinton Musil, and Kathy Fishback, members of AAAS staff, also provided valuable
assistance in the production of this volume.
Peter Wehrwein, a science writer and long-time friend, helped me many times with
advice, telephone tutorials, and useful bits of information. Carolyn Reser helped me track
down a most elusive fact — the name of the Ray Bradbury story mentioned in Chapter 3.
I relied on two textbooks as valuable references — Greg Carey’s Human Genetics for
the Social Sciences and Behavioral Genetics by Robert Plomin et al. I also am beholden to
the many genetics glossaries on the web – especially to the “gene definitions” and the
“SNPs and other genetic variations” glossaries at the website of the Cambridge Healthtech
Institute. Finally, I must acknowledge my huge debt to Google.com, which helped me
track down in an instant relevant articles, loose facts, bibliographic details, and definitions.
Although many people have guided me on this project, I assume all responsibility
for errors and out-of-date information, and for any sections in which I failed to make
things clear.
Catherine Baker
September 2003, Bethesda, Maryland
ACKNOWLEDGEMENT XI
chapter one
WHAT IS BEHAVIORAL GENETICS? 1
■ ■ ■ Margaret, an ambitious mother

Margaret and her husband do not make a lot of money and they do not
save much, but she’s come up with a grand scheme to make her family
wealthy. She’s going to turn her two-year-old daughter Cassandra into a
professional golfer.
She knows all about Tiger Woods, the golf prodigy who was coached
and managed by his father and who has amassed millions of dollars in
prize money and endorsements. The incomes of today’s professional
women’s golfers are far below that of Tiger Woods, but Margaret figures
that the earning potential of female golfers is bound to increase dramat-
ically in the years ahead.
Margaret played on her college team and probably could have turned
professional if she had been given the encouragement she plans to give
her daughter. Though her husband’s sport of choice is baseball, he too has
physical talent that he has probably passed on to his little girl.
Margaret has bought Cassandra a pint-size set of golf clubs so they can
start practicing. Of course at her age, Cassandra prefers to use the putter
for knocking off the heads of dandelions or beating up anthills.
Nonetheless, her mother thinks it should not be difficult as Cassandra gets
older to get her to focus on the game.
Margaret figures that with the natural athletic abilities that run in the
family, strenuous coaching, careful planning, and a little luck, she should
be able to get Cassandra into the pro circuit within fifteen to twenty years.
She has not told her husband about this plan yet. She knows just what
he’ll say: Are you crazy? But if her daughter has innate physical abilities
and those abilities are nurtured, directed, and promoted, success is almost
assured. Isn’t it?
Defining behavior plants behave. For example, when a plant
Seers, prophets, and astrologers of ancient turns its leaves toward a source of light, it
times have tried to predict behavior. is behaving. The opposite is also true:
Writers such as Shakespeare and Jane things that are not alive do not behave.
Austen have tried to describe it. Freud, Rocks and oceans and planets do not
Jung, and other psychiatrists have sought behave.
to explain it. Today’s advice columnists Behaviors are the actions a creature
assume they understand it, ministers ser- makes, as a whole, in response to the
monize about it, and some daytime TV world around it. When an owl swoops
talk show hosts provoke their guests into down to catch a mouse or when children
the worst of it. Yet much of behavior chase a soccer ball, these are behaviors.
remains a mystery. Behaviors also are holistic responses to
It’s the unusual person (the differently stimuli from inside the body. When your
behaving person) who has not tried to hands begin to tremble and you feel
understand his or her own behavior or agitated and hyper-alert after your fourth
the behavior of others. Therefore, it cup of coffee, that is behavior, too.
should come as no surprise that many Mostly, we think of behavior as some-
scientists choose to study behavior. thing conscious such as when we choose
All living organisms, not just humans, to eat a piece of cherry pie. But behavior
behave. Animals behave, insects behave, also can be unconscious, automatic, or
and single-celled amoebas behave. Even instinctual. Talking in your sleep is a
behavior, because it is the mind
responding to events that occurred while
Genes were unknown in
Shakespeare’s time, yet his awake. A sneeze is a behavior, because it
writing reveals an uncanny, is the body’s response to pollen in the air.
intuitive understanding of The lizard that crawls out from under a
human behavior.
rock to bask in the sun is behaving, even
though we do not think lizards have a
consciousness as human beings do.
Physical manifestations of most
diseases are behaviors, too. When a man
has an epileptic seizure or when a woman
with uncontrolled diabetes falls uncon-
scious, they display behavior despite the
fact that they are not in conscious control
of their actions.
Some behaviors are uniform across a
2 BEHAVIORAL GENETICS
whole species such as the way bears
hibernate in winter. Other behaviors are
unique to an individual creature such as
the way your dog barks twice when he
wants to be let outside. Many behaviors
are unique to a particular being on a par-
ticular occasion, such as the way you
react when you find a twenty-dollar bill
on the street at the end of a bad day.
Forms of behavior
Actions are one subset of behavior, and
states of mind — emotions and moods
— are another. This is not obvious.
A person can be angry without neces-
sarily doing anything physical like hitting
or shouting. Nonetheless, the anger that pected to have some influence on when
is felt is a response to stimuli. Perhaps an and whether mood disorders appear.
expensive bill has arrived in the mail or Thus, mood disorders fall into the
your late-adolescence hormones are category of behavior.
surging. In another not-so-obvious connection, Behavior includes not only actions
Mental illness falls into the category of personality is behavior. This makes sense but also the emotions we feel such
as anxiety or joy.
behavior though this may not seem when you consider that personality is the
obvious, either. Depression does not seem sum total of a person’s physical, mental,
to be a person’s response to the world but emotional, and social characteristics that
rather an emotional state that descends distinguish that person from everyone
upon him or her. In the same way, there else. Consistent patterns of behavior lead
is no single event or series of events us to describe individuals as being docile
that explain why a person develops and sweet or brusque and standoffish.
schizophrenia. And yet the typically quiet person might
However, scientists believe mental ill- sometimes be quite vocal and the
ness emerges in response to a series of typically aloof individual might some-
causative events inside and outside the times be quite sociable, because behavior
body. These events may be subtle, they always depends on a context.
may not be linked in time, and many of Since mood and personality fall into
them remain unknown, but they are sus- the category of behavior, it stands to
CHAPTER 1: WHAT IS BEHAVIORAL GENETICS? 3

reason that thinking itself is a behavior. offspring. A fuller description of these
So when you do addition in your head or genes is provided in Chapter 2.
try to puzzle out a dream from the night Scientists realize that genes by them-
before, you are behaving. The type of selves do not control behavior. Genes
thinking behavior that involves knowing enable organisms to respond to and use
and perceiving is called intelligence what is around them in their environ-
or cognition. Speed of thought, problem- ments. At the same time, environments
solving skills, and the ability to make influence the actions of genes.
connections are different aspects of this Unfortunately, the term “environment”
behavior. often leads to confusion because it has a
different meaning in behavioral genetics
than the one that ordinarily comes to
Behavioral genetics mind. As an ecological term, environ-
Researchers in the field of behavioral ment means the physical world. As a
genetics study variation in behavior as it is genetic term, environment means all
As any parent knows too well,
biologically related children can affected by genes, which are the units of influences other than inherited factors.
differ widely in behavior. heredity passed down from parents to Here’s a short list of some typical envi-
ronmental factors that to one degree or substantial social significance. Three such
another affect behavior: family and topics — mood disorders, impulsivity,
friends, home and workplace, and specific and intelligence — are treated in
experiences from everyday life. These are Chapters 5, 6, and 7.
aspects of our external, social world.
Other environmental factors belong to
the internal, biological world: nutrients, Margaret’s ambition
hormones, viruses, bacteria, toxins, and What accounts for the fact that some
other products that affect the body during people are more accomplished athletically
prenatal development and throughout than others? This is a question that inter-
life. Environments are addressed at ests many scientists including behavioral
greater length in Chapter 3. genetic researchers. It also is one that
People working in the field of behav- would interest Margaret, the woman who
ioral genetics agree that genes and envi- plans to groom her daughter into a
ronments are both essential and professional golfer like Tiger Woods.
interdependent factors in behavior. Their Tiger is an intriguing case study Genes and environments are
field is called behavioral genetics, not because his athletic performance is so interdependent: one does not
have an effect on behavior
because they think genes are more impor- extraordinary. He was a precocious child without the other.
tant than environments but because they who before his third birthday could beat
use gene-based research tools to sort out far older players on the course. By age 15,
the factors that contribute to the variation he had won five junior world tourna-
in behavior. These tools are described in ments. Then he claimed three U.S. ama-
Chapter 4. teur championships in a row. He turned
Behavioral genetic researchers study all professional at age 20 and earned
sorts of life forms, simple and complex, $800,000 in prize money his first season.
from worms and fruit flies to chim- At age 21, he became the youngest
panzees and humans. Their work over- winner of the Masters Tournament, and
laps and complements behavioral within four years he had his career grand
research happening in other fields such as slam — a victory in each of golf’s four
biology, psychology, physiology, medical major tournaments. With a growing col-
genetics, evolutionary science, and neu- lection of victories, he is surpassing the
roscience, to name a few. The particular records set by Jack Nicklaus and other
interest of behavioral geneticists is in legends of the sport.
what makes members of a species (espe- Tiger combines a powerful swing with
cially the human species) differ in their great putting skills, excellent stamina,
behavior. The field also is defined by a incredible discipline, and impressive
particular focus on topics that have self-control. He has all the assets for an

exceptional career. His success is so Science in society
unusual that it compels us to ask, where As a field, behavioral genetics is con-
does Tiger get it? Or, as Margaret might cerned not so much with individuals such
put it, “How can I get some of that for as Tiger or Cassandra, but with patterns
my child?” of variety among groups of people. It is
We do not know whether Tiger was concerned with questions of probability;
born with a set of genes that are particu- for example, what is the probability that
larly advantageous for golf (molecular you will have good hand-eye coordination
study could someday shed light on this), given a particular set of genes and a par-
though we might intuitively conclude ticular set of environmental conditions?
that he is built for the sport. We do know Behavioral genetics does not have an
that at an early age his father Earl Woods answer to the question just posed, though
Success in any endeavor requires recognized, nurtured, shaped, and it might someday. And it is not the
more than an advantageous set pushed his son’s talent. We also know domain of behavioral genetics to answer
of genes.
that Tiger was willing and eager to be the question of whether Margaret ought
coached, to work extremely hard, and to to aggressively manipulate her daughter’s
aim for high goals. future. It is society through its values, cul-
We can assume that chance has played tural practices, and laws that determines
a part in Tiger’s success. Just consider how how we should behave. Behavioral
he might have turned out if his father had genetics can only help us understand
not liked golf, if he had developed a debil- what makes us behave as we do.
itating illness as a youth, or if he had been
born a few decades earlier when most golf
courses were Whites-only.
Genes, environment, choice, and
chance: each plays off the others over the
course of a lifetime. Biographers have
already begun to speculate on how these
various threads have woven together to
make Tiger who he is. But for Margaret
proactively to make Cassandra into a
successful professional golfer, she has to
control all the variables — and that is
simply not possible.
Individual scientists who study
behavior cannot and should not
decide which behaviors are valued
and acceptable and which are
outside the norm. Such important
decisions must be made by society
as a whole.
RESOURCES FOR CHAPTER 1

Biological Sciences Curriculum Study (BSCS). 2000. Genes, environment, and human behavior.
Colorado Springs: BSCS.
Carey, G. 2003. Human genetics for the social sciences. Thousand Oaks, CA: Sage Publications.
Dick, D. M. and R. J. Rose. 2002. “Behavior genetics: What’s new? What’s next?” Current Directions
in Psychological Science 11, no. 2: 70-74.
Plomin, R., J. C. DeFries, G. E. McClearn, and M. Rutter. 1997. Behavioral genetics, 3rd ed. New York:
Freeman Press.
Shapiro, L. 2002. “Woods successfully defends title, captures third overall.” Washington Post,
15 April, C-1.
“Tiger Woods.” 2001. (Accessed 3 October); available from

http://www.infoplease.com/ipsa/A0109760.html.

chapter two
HOW DO GENES WORK WITHIN
THEIR ENVIRONMENTS? 2
■ ■ ■ Hoda, a perplexed nurse

Hoda has been a pediatric nurse for twenty years, and today was one of
her tougher days. It’s August and so a good number of the young patients
had come in for school immunizations. Hoda thinks to herself on the way
home that if she could have a nickel for every child who cries at getting a
shot, she could retire a rich woman.
Her glum perspective eases up a bit as she gets further away from the
clinic. It was really hot in there today, she tells herself, and for a lot of the
children it is a strange place. She considers the fact that almost every
child who gets upset by a shot is easily consoled with a simple sticker.
And while some children are born crybabies, many others never put up a
fuss at vaccination.
Hoda used to think that a child’s attitude towards shots depended on
the parent with him or her at the clinic, but since she became a parent her-
self she is not so sure about that. Her older son has never minded shots,
but her younger son is a big baby.
Hoda knows that her own conduct as nurse has considerable influence
on how her young patients behave. She tries to be gentle and to do her
business as quickly as she can. While that works for most children, it is not
enough for others. And then there’s always the child who is no trouble for
one vaccination, but who makes a big fuss for the next. “Kids!” thinks
Hoda. “Will I ever figure them out?”
Human DNA is contained in The human genome containing molecules called nucleotides
46 chromosomes: 22 pairs plus The complete set of genetic material for or bases. There are four different bases,
two X chromosomes in females or
one X and one Y chromosome in
any organism is called its genome. In called adenine (A), cytosine (C), thymine
males. For reference purposes, recent decades, information about the (T), and guanine (G). The bases are paired
scientists have assigned numbers genomes of several organisms has been and linked together to form a double-
to the chromosomes using an
pouring out of a massive international stranded helix. The order of bases strung
order based on length.
effort called the Human Genome Project. along chromosomal DNA is critical, as we
This “sea of data,” as it has been called, will explain in a moment.
confirms the view that genes operate The human genome contains three
within really big and complex systems. billion pairs of these bases. Measured
The human genome is organized into with a yardstick, this makes six feet of
two sets of twenty-three chromosomes, DNA — not so very long, except that all
forty-six in all. These chromosomes are of it fits, coiled up, inside the nucleus of
made of a chemical substance called DNA a single cell. Indeed, the entire genome
(deoxyribonucleic acid), and this DNA, in in identical form is packed into nearly
turn, is made of smaller units: nitrogen- every nucleus of the body’s one hundred
trillion cells.
The human genome is quite large, but
it is not all that large compared to the
genomes of other life forms. A tiny germ
called mycoplasma genitalium has one of
the smallest genomes yet contains more
than 580,000 base pairs. Wheat has ten
times more DNA than humans.
Function of the
human genome
Size is not the only dimension that makes
the human genome impressive.
Functional operation is another. At seem-
ingly random spots along a chromosome’s
strand of DNA, base pairs are organized
into units that operate together. These are
the genes.
There is an important term for those
“seemingly random spots along a chro-
mosome’s strand of DNA,” and it will Proteins make up the structure of cells:
appear frequently in this text. That term hair, cartilage, bone, and the other phys-
is locus; the plural is loci. It means ical components of the body are built
“location of the gene on the chromo- from protein. In the form of hormones,
some.” The word locus also has come to enzymes, and antibodies, proteins direct
stand for “the location of a segment of cell activity. Proteins help transport mate-
DNA within a gene.” rials between cells and they help cells
Each gene varies in the order of the communicate with each other.
bases along its length. The average Another critical task of proteins exem-
human gene is three thousand base pairs plifies that old phrase “turnabout is fair
long. The human genome contains an play.” Proteins are constructed through
estimated 30,000 or more genes, yet gene activity and — in the form of
these genes comprise less than 5 percent hormones, growth factors, and other
of the genomic material. regulatory molecules — proteins also A protein can be visualized as
Put simply, this is what genes do: affect gene activity. a long strand of material that
bends and folds into a complex
They provide the template for a series of The adjective that describes this phe-
three-dimensional shape.
intricate steps that cells follow to create nomenon is epigenetic. Epi is a Greek This long strand typically is
proteins. A gene’s string of bases is organ- root meaning “upon,” and epigenesis created from two or more chains
ized into triplets. The sequence of DNA means the process of affecting the action of amino acids (and sometimes
other chemicals) that have linked
triplets that defines a gene is copied into of a gene without altering the DNA of the together. Each separate chain
a string of RNA (ribonucleic acid, a chem- gene itself. Epigenetic effects are pro- is created according to the
ical similar and complementary to DNA) duced not only by proteins but also by instructions contained in a gene.
triplets. In most cases, each RNA triplet RNA; by certain genes with managerial
codes for one of twenty different small responsibilities; and by the imprinting of
molecules called amino acids (fondly genes (a little-understood phenomenon
referred to by science teachers as “the by which a gene expresses itself differ-
building blocks of the body”). Most of the ently depending upon whether it was
amino acids have names ending in “ine” inherited from the mother or the father).
such as alanine, glycine, and isoleucine. These epigenetic factors are what
The amino acids coded for by a gene link cause some cells to turn into skin while
together into a polypeptide chain. These others become part of the liver, bone, or
chains can be hundreds or thousands of brain, even though all the cells contain
links long (shorter strands are referred to the same package of DNA. Epigenetic
simply as “peptide chains”). A protein is mechanisms remain important through-
formed when (in most cases) two or out life, selectively triggering the genes in
more chains link together into a three- various tissues in response to environ-
dimensional structure. mental stimuli.
CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 11

This brings us back to what happens by environmental influences, the genes
The entire DNA for an organism when genes are triggered: in scientific inside a cell issue the instructions for
is repeated in nearly every cell of shorthand, this is described as “genes reassembling amino acids into polypep-
the body. Within each cell, how-
regulating proteins” or “genes coding for tide chains that combine to form new
ever, the genes act distinctively,
as prompted by environmental proteins.” (To be technically accurate, proteins that are then available to perform
and epigenetic factors. some genes “code” for RNA and some a variety of tasks in the body.
genes do not actually “code for” anything, Genes have one more important func-
but rather serve as a catalyst.) In common tion. They are the mechanism by which
jargon, genes also “go into play” or the template for making proteins is passed
“express themselves” or, more techni- down from one generation to the next.
cally, “undergo transcription and transla- Sperm cells and egg cells each carry a half
tion.” In a nutshell, here’s what these complement of chromosomes, and at
terms all mean. The body obtains protein conception the two half-sets combine to
from food and digests it, breaking it down produce a new organism with a unique
into the twenty different amino acids. combination of genes.
Amino acids are stored inside cells. As was just mentioned, somewhere
Prompted into action by epigenetic fac- around 30,000 genes are contained in the
tors that have themselves been prompted human genome. Yet the body produces
far more than 30,000 proteins. This is percent that is an overwhelming simi-
possible because the amino acids larity. However, one tenth of a percent
produced by genes can combine in dif- of three billion base pairs of DNA is
ferent ways to make different proteins. 3 million, a very large number.
Nearly all the cells of the body contain Some of those tenth-of-a-percent differ-
the entire set of genes. But within each ences occur in the genes. Every human
cell no more than about 5 percent of the has the same basic package of genes, but
genes are ever expressed. The genes in each gene may show up in a different ver-
the cells of one tissue (for example, sion, called an allele. A gene’s alleles differ
kidney cells) may — under certain slightly from one another in terms of the
environmental conditions — become order that the four bases — A, T, C, and
activated and express themselves while G — appear along the DNA strand.
the equivalent genes in the cells of Scientists believe that there are two or
another tissue (for example, the brain) more variants for most human genes; the
remain inactive. average number of normal alleles for a
The bottom line is that the 30,000- gene is estimated at 14, but some genes Nitrogen-containing molecules
some human genes are capable of have 50 or more. Humans are diploid, called nucleotides or bases are
paired and lined up on a twisting
producing a many-times-larger number of which means they carry two alleles for ladder-like structure (a double
proteins. These proteins work independ- every gene (one inherited from the father helix) to form a chromosome.
ently and in combinations to create an and one from the mother); the two alleles Sections of these base pairs
operate together as genes.
even larger number of outcomes in the in a given pair may be identical (in which
Other sections have other
cells of the body. case they are homozygous) or different functions. Species differ in
(heterozygous). Each person is unique in their number of chromosomes.
Variety within the

human genome
In addition to size and function, the
genome is impressive along another
dimension, and that is variety. For each
species, the genome comes in unlimited
versions — it differs in every individual
within a species. This difference is small
percentage-wise, but it has profound
effects.
The genetic sequence of any human is
estimated to be 99.9 percent identical to
that of any other human’s. Expressed as a
Image: ©U.S. Department of Energy Human Genome Program, http://www.ornl.gov/hgmis.

terms of his or her particular combination Similarity across genomes
of alleles. There is yet another admirable feature of
An individual’s unique set of alleles the genome, and this is its consistency
is referred to as his or her genotype. across species. Just as with individual
(The word “genotype” is also used to genomes within a species, genomes
refer to a subset of genes, a small part of across species differ less than you might
the whole genome, that is relevant to the expect. About half of all fruit fly genes
particular trait being studied.) Through have parallel genes in the human, while
the actions of the proteins it directs, each the mouse genome corresponds to the
genotype contributes to a unique set of human almost completely.
observable human traits, or phenotype. The gene sequences of human and
In some cases, alleles behave in an chimpanzee are 99.4 percent alike. What
additive fashion: each allele contributes to differs between the two species are a very
the variation in a phenotype in a separate, few genes (not just alleles, which are vari-
measurable way. One way to think of ations of the same gene) and, more impor-
additive genetic variance is with the tantly, the activity levels of the genes.
metaphor of a potluck meal. Each person For example, certain genes that affect
Genes are “conserved” across brings a dish; the degree to which the human brain function are much more
species, which means humans are meal is a culinary success depends on the active in humans compared to the corre-
extremely similar genetically to
tastiness of individual appetizers, sponding genes in the chimpanzee.
chimpanzees. Shared genes differ
in their activity level, and this casseroles, and desserts. This is enough to account for the major
accounts for much of the differ- In other cases, alleles are nonadditive. differences in appearances and behaviors
ence between the two species. A nonadditive effect occurs when an indi- between human and chimp.
vidual’s two alleles for a gene are dissim- There is an interesting explanation for
ilar and one has dominance over the other why the genomes of different species have
so its genotype more heavily influences so much in common. Scientists propose
the phenotype. Nonadditive effects also that all species stem from a single, simple
occur when there is epistasis: one allele at organism that existed eons ago. Later
one location in the genome affects the species grew out of that original species
expression of another allele at another like branches from the trunk of a tree.
location. Thus additive and nonadditive In every new species, some of the DNA of
effects characterize the relationship not its predecessors is conserved.
only between the two alleles for one gene This process of change is known as
(in scientific speak we could say “the two evolution, and the mechanisms by which
alleles at one locus”), but also between species emerge include mutation, natural
alleles of different genes (“alleles at selection, and genetic drift. A mutation is
different loci”). a change in the DNA of a gene that alters
the genetic message coded by that gene.
Image: ©2002, Cold Spring Harbor Laboratory. All rights reserved.

Mutations can occur in any part of a gene
inside any cell at any point in life. They
can be triggered for example by radiation,
malnutrition, aging, and physical trauma
to the cell.
Cells in most parts of the body
frequently make copies of themselves so
that tissues can grow and old cells can be
replaced, and this is when most muta-
tions occur. In this copying process, bil-
lions of bases are copied, and with every
copy there are a few errors. One or more descendents in the next generation: this is
bases are put in the wrong place, left out, part of natural selection. Over many A change to the DNA, called a
or changed. Sometimes extra copies are generations the mutation may become mutation, can be triggered by
any of a number of causes. Most
made of a string of bases or of whole predominant in the species, and over a mutations result from simple
chromosomes. Sometimes a gene moves great many generations, a collection of errors introduced during replica-
to a new location or is deleted. advantageous mutations in an isolated tion of the cell. However, some
result from physical damage to
Errors occur about every million cell population can lead to the development
the cell. In this illustration, an
replications, perhaps more frequently. In of a new species. insect is exposed to radiation,
most cases, these mutation have little or The third evolutionary mechanism possibly leading to one or more
no effect on a gene’s action. But in rare mentioned above, genetic drift, occurs mutations, such as the transposi-
tion of a base pair; the insertion
cases, the mutation has a major effect; when members of a species are separated
of extra base pairs; or the duplica-
the amino acids produced from a gene into distinct populations; for example, if tion of one extra base in a pair.
containing an error are different or do not one group of humans migrates a long dis- Such mutations sometimes alter
appear. This genotypic difference may tance away from another group. Within the actions of a gene.
sometimes lead to a phenotypic difference each population, certain alleles are passed
that affects, for good or bad, the onto the next generation by chance,
organism’s ability to thrive or survive. increasing or decreasing their likelihood
If the mutation occurs in a gamete of of being passed on again to the third gen-
an individual (the egg or sperm cell eration. Over time, the number of alleles
involved in reproduction), then the new that remain in the population are
mutation appears in the cells of that indi- reduced. The smaller the population, the
vidual’s offspring. Such mutations lead to greater the reductions in allelic variety
variety within a species. If the mutation over time. The separated populations
offers an advantage for survival, then indi- diverge—drift apart—in terms of the
viduals with the mutation will leave more alleles they carry.

An orchestra is one possible Imagining the genome of the body (this is called pleiotropy)
metaphor for the genome. To summarize, the genome has an and that, by the same token, the same
Both orchestra and genome
extremely large number of component effects can result from different genes or
produce magnificent effects
through the collaboration of parts yet is infinitesimal in size. It appears sets of genes (this is called genetic
many individual and critically nearly identically in billions of cells, but heterogeneity). And scientists know that
important participants or parts. operates dissimilarly inside different cells. which instructions genes issue, and
One species’ genome translates into an whether or not they do, depends entirely
incredibly broad range of genotypes and a on the environmental context at any
far broader range of phenotypes. At the given moment in time.
same time, genomes across species Furthermore, they have learned that
resemble each other remarkably. the genome contains many other impor-
The genome is so curious that we use tant elements besides instruction-giving
metaphors to help us get a handle on it. It genes. Mixed among and within the
has been described as a codebook, a book coding genes, which occupy just a small
of life, or an encyclopedia. It has been fraction of the total DNA, are non-coding
likened to an instruction book, with each sequences and other features that have
gene being one instruction in this book. been given names based on what is
But these metaphors are not holding up known about their structure or function:
under the weight of our expanding promoters, enhancers, pseudogenes,
knowledge. Today, scientists realize that tandem repeats, telomeres, centromeres,
the genome is much more dynamic than and the like. Some of these elements play
any kind of book. They know the same critical epigenetic roles, managing the
genes in the cells of different tissues may genes that do code for protein expression.
lead to different effects in different parts Others have minor roles or no
discernable role — we might more wisely disease have been tracked to one gene.
say that their role still awaits discovery. Most physical traits and conditions —
So a new metaphor is replacing the such as height, blood pressure, weight,
metaphor of genome-as-text. This is the and digestive activity — stem from many
metaphor of the genome as a community genes that vary in activity depending on
or collective, working together for a environmental contexts. The same is true
shared purpose. Just as a cast, crew, direc- for all complex behaviors. Each is affected
tors, and producers work together to put by multiple genes interacting with mul-
on a play, so the elements of the genome tiple environmental influences. For any
work with each other, and with epige- given behavior, relevant genes and envi-
netic characters, to express the chemical ronmental factors number in the dozens,
products required by a body in the hundreds, or perhaps thousands.
process of life. Unfortunately, many people have a
different impression. They think that a
gene controls a behavioral trait, period.
Behavior and the genome This is genetic determinism, that is, the
All of this description about the genome is belief that the development of an
simply background to the question at organism is determined solely by genetic
hand, which is how genes, operating factors. Genetic determinism is a false
within environments, connect to belief. It comes from misunderstandings
behavior. Behavior results from the of scientific research.
genetic coding that occurs in cells A great many studies have explored Scientists have only begun to
throughout the body, but especially in the possible connections between genetic fac- explore the complex relationship
between genetics, environments,
nervous system: the brain, spine, and tors and specific behaviors, such as the
and human habits, tendencies,
network of nerves through which infor- age at which a young person begins to and addictions.
mation is communicated throughout the smoke and drink, the friends one selects,
body, electrically and chemically. Put a person’s tendency toward divorce,
simply, behavior results from lots and lots grooming habits, and one’s willingness to
of ongoing activity by many, many genes take risks, to name just a few. Some of
pressed into action by the environment these studies have found that close rela-
and through epigenetic factors. tives tend to be more alike for the trait in
Blood types, some simple metabolic question than people who are not as
processes, and a few physical traits stem closely related. But these kinds of studies
from the actions of a single gene, only identify correlations between people
irrespective of environment. Some health with similar genetic profiles and certain
disorders such as cystic fibrosis, early- behaviors. Correlations are related rates
onset Alzheimer’s, and Huntington’s of incidence, reflecting how much and in

do not provide any justification for
simplistic talk about “a gene for starting to
smoke” or “a gene for divorce,” people
sometimes talk like that anyway. There
are many explanations for why people
make these kinds of false statements.
Sometimes a scientist overstates the
significance of his or her study, sometimes
a reporter misinterprets research, some-
times the headline to an article oversim-
plifies the story, and sometimes naive
members of the public jump to the wrong
conclusion. Such errors are not mutually
exclusive. But the fact is that so far, scien-
tific research has not confirmed any
one-to-one correspondence between a
gene and a human behavior. Behavior
what way two elements co-occur. results from the activity of multiple genes
Correlation does not mean It’s important to realize that correlation amidst the influence of multiple environ-
causation: ice cream sales and is not causation: ice cream consumption mental factors.
crime both rise with the outside
and crime both go up in the summer
temperature, but one does not
cause the other. In the same way, (a positive correlation), but one does not
a person may have certain alleles necessarily cause the other. Correlation Hoda’s perplexity
for a gene and behave a certain studies in behavioral genetics do not We know that there is no “gene for taking
way, but that does not mean the
allele causes the behavior.
reveal anything about the specific under- shots bravely.” In a way that’s too bad,
lying genes and they only offer clues as to because if there were it would explain
the relevant environmental variables. what Hoda in her career as a pediatric
Sometimes researchers will identify a nurse has observed — that some children
particular allele for a gene that is found in are simply afraid of shots and others are
some people who have the trait and that not. But a single gene hypothesis could
therefore is speculated to potentially have not explain what Hoda has further
something to do with the trait. One observed — that children’s responses to
cannot jump to a conclusion from this the needle vary continuously across a
kind of correlation study, because addi- wide spectrum and that an individual
tional genes and various environmental child’s responses can be inconsistent.
factors also are potentially involved. Hoda might be interested in hearing
So while behavioral genetic studies about a classic animal behavior study con-
ducted several decades ago. In this exper- the scientists moved the experiment up a
iment, scientists took a group of ordinary notch. They had mice born to the timid
field mice and put them, one at a time, line foster-mothered by a mouse from the
into a brightly lit open box. The mice had brave line, and vice versa. They also
never been in the box before, and they mixed young from each line into one
reacted with a range of behaviors. litter to be raised together by one female
Some appeared to be fearful. They adult.
huddled motionless along the sides. Nothing changed. Mice from the line
Others appeared to be more brave. They inbred for timidity showed fear when
roamed about, though they did not stray placed in the open box. Mice from the
far from the sides. A few mice wandered line inbred for bravery responded with
freely, even venturing into the middle. courage.1
Using various tools, the scientists pre- Scientists point to these experiments as
cisely measured each mouse’s move- proof that behavior traits can be influ-
ments. They selected the most enced by heredity. These experiments
immobilized and the most active. Then also proved something else: that more
they bred these selected mice, fearful than one inherited factor was at work to
with fearful and brave with brave. affect mice behavior. We know this
When the next generation came along, because the intensity of bravery and fear-
scientists again tested each mouse in the fulness in the respective lines of mice
box. They selected the most timid occurred over many generations and con-
offspring of the timid parents and the tinued to evolve. If only one or two genes
bravest offspring of the brave parents. had been involved, the extreme form of
Many genes, plus many environ-
The selected offspring were again bred, the behavior would have been universal
mental factors, shape the
like with like. The scientists kept up such within a few generations (because each behavior of a mouse placed inside
inbreeding for thirty generations. parent only passes down one allele for an open box.
With each generation, the mice in the
timid group became, as a whole, more
timid, while the mice in the brave group
became, as a whole, more brave. The two
lines of mice came from the same original
stock, and they were kept and raised
under identical conditions. But their
responses to the box were becoming
progressively more different.
To make sure no uncontrolled factor
was affecting the behavior of the mice,

any gene from the two that it has itself). Scientific support for her belief has been
Fearfulness, its opposite bravery, and nicely provided by another animal exper-
other behaviors are called quantitative iment, this time involving rabbits. When
genetic traits because the phenotypes placed in an open box, rabbits — like the
(the observable behaviors) associated mice — show a range of responses from
with the underlying genotypes vary by withdrawal to quick acclimation. But
measurable quantities or degrees. The researchers have learned that rabbit reac-
original generation of mice included tions can be molded by the amount of
those that were not very fearful, moder- stimulation they receive while very
ately fearful, and quite fearful, plus others young. Baby rabbits that are handled by
in between. If scored on a scale and humans and exposed to minor shocks or
plotted on a graph, the range in behavior temperature changes are more likely to
Holding, prodding, and petting would look like a bell-shaped curve. This be more free-ranging in the box later
a rabbit can make it bolder, kind of trait is also called continuous compared to a control group of bunnies.
but that sort of shaped behavior
since its particular characteristics vary The degree of fearlessness in rabbits
is not transmitted from one
generation to the next. continuously from one extreme to the correlates directly with the amount of
other. [The opposite kind of trait is stimulation they receive early in life. But
discontinuous — you either have it or because the rabbit reactions are shaped
you do not, such as a sixth finger on your by external stimuli, fearlessness as a trait
hands. Being able to roll your tongue is does not pass from one generation to the
an example of a discontinuous behavioral next. Rabbits that have been stimulated
trait, but it is the exception rather than do not produce offspring that are more
the rule. Almost all behavioral traits are fearless, as a group, than offspring of
continuous.] unstimulated rabbits.2
Each gene involved in a quantitative
trait is called a quantitative trait locus
(QTL). The term QTL is the technical Some caveats
way of saying “one location among many The mice and rabbit studies just
in the genome that affects a continuous described take us only so far. They show
trait.” Each QTL may have a major effect us that genes and environment both have
or a minor effect, but it does not have an effects on behaviors, but they do not tell
exclusive effect. us how they work together to do so.
In addition, as was emphasized before, Furthermore, these are animal studies.
there is also the effects of the environ- We can put mice and rabbits into boxes
ment. As an experienced nurse, Hoda and fancifully label their behavior
believes that how she behaves has some “brave” or “fearful,” but we cannot
moderating effect on her young patients. extrapolate from that to how humans
might behave in strange situations. with children, intuitively knows this.
We cannot take human adults, test She is aware that children tend toward Scientists believe that each
them on a particular task and then, based certain temperaments, but that her own person’s package of genes might
partially explain tendencies, such
on performance, select some to breed actions, as well as other factors beyond as why one child has an outgoing
together in order to concentrate certain anyone’s control, affect the behavior personality and another is more
inherited factors in their children. patients manifest when in her clinic. shy. Yet many non-genetic factors
also affect how a human acts in a
Likewise, we cannot deliberately experi- Hoda probably understands children
particular circumstance.
ment with human babies by handling better than she realizes.
them differently to see how their
behavior might be affected as they
mature.
Notes
But we can give these animal studies
1 See Clark, W. and M. Grunstein (2000, pgs. 86–88) and in
credit for helping us understand the Plomin et al. (1997, pgs. 62–66) for discussions of the mice
studies. The research discussed is DeFries et al. (1978).
essential point that both inherited and
2 See Clark, W. and M. Grunstein (2000, pgs. 90–92) for a
environmental factors contribute to discussion of the rabbit studies.
behavior. Hoda, in her years of working

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chapter three
HOW DO ENVIRONMENTS
IMPINGE UPON GENES? 3
■ ■ ■ Skip, a regretful man

When Skip was a boy he often pestered his mother with questions.
“Why can’t I have my own room?” he would ask. “Why can’t I have a bike?
Why do we have to eat casserole every night?” But his mother would only
reply with aphorisms he didn’t understand. “If pigs had wings they would
fly,” she would say. Or sometimes she would say, “If wishes were candy it
would be Christmas every day.”
Those annoying sayings echo in his ears tonight. He surely wishes he
could make like a pig and fly out of the stinking mess of his life. It’s not
his fault, Skip thinks bitterly. He had to drop out of high school to earn
money for the family. But then he thinks how he didn’t have to get his girl-
friend pregnant. Twice. And he could have gone back to school or learned
a trade. He just never seemed to have the time, energy, or cash.
So here he is at thirty-two, divorced and alone, and no further ahead
than when he was eighteen. He’s just an assistant manager at an all-night
diner with no one to talk to but tired-out waitresses, surly cooks, and
grumpy customers. It didn’t have to be this way, he muses despondently.
Hadn’t he been a real charmer, a really handsome kid? Wasn’t he the best
hitter on his Little League team? Didn’t he used to dream of becoming an
astronaut?
Skip thinks about Marlon Brando’s wailing complaint in the classic
movie, On the Waterfront: “I could’a been a contender!” Me too, thinks
Skip. “I really could have been somebody. So why have I turned out to be
such a loser?”
Environment illustrated low and high elevation grew poorly at
Three examples will illustrate how medium elevation. The medium altitude
environments impinge upon genes. They produced the worst overall results, but
concern a plant, a human disease, and a still yielded one tall and two medium-tall
human behavior. samples. Altitude had an effect on each
In a classic experiment, seven geneti- genotype, but not to the same degree nor
cally distinct yarrow plants were collected in the same way.1
and three cuttings taken from each plant. The second example illustrating envi-
One cutting of each genotype was planted ronmental effects involves the human
at low, medium, and high elevations, disease called PKU. This is the common
respectively. name for a medical disorder, phenylke-
When the plants matured, no one tonuria, which results when the body
genotype grew best at all altitudes, and at does not produce enough of a particular
Some medical disorders are
caused by faulty instructions from each altitude the seven genotypes fared liver enzyme. In the absence of this
a single gene. PKU is such a dis- differently. For example, one genotype enzyme, an amino acid known as pheny-
order. If babies with this disorder grew the tallest at the medium elevation lalanine does not get converted into the
are identified at birth, treatment
can prevent the tragic health
but attained only middling height at the next amino acid in a biochemical
consequences of PKU. other two elevations. The best growers at pathway, and therefore too much pheny-
lalanine passes into the blood and other
tissues. This disturbs brain development,
leading to mental retardation and other
problems.
PKU affects approximately 1 out of
every 15,000 infants in the U.S.
However, most affected infants do not
grow up impaired because of a standard
screening program used in the U.S. and
other industrialized societies. Newborns
found to have high levels of phenylala-
nine in their blood can be put on a
special, phenylalanine-free diet. If they
are put on this diet right away and stay
on it, these children avoid the severe
effects of PKU.
PKU is a genetic condition that stems
from any of a number of different muta-
tions in a gene that codes for amino acids
that combine to form an enzyme that The third example for environmental
converts phenylalanine. (Scientists often effects concerns human intelligence.
refer to alleles that lead to disorders as Scientists theorize that many different
mutations, though all alleles — both aspects of brain function factor into our
those with positive and negative effects ability to reason and to learn, such as
—emerge at some point in the evolu- energy metabolism and neuronal trans-
tionary history of a species through the mission speed. To the extent that genes
process of mutation. In this text, we will trigger the protein activity that con-
refer to such mutations as “disease- structs the brain and are essential to its
related alleles” or “problematic alleles.”) function, they play a role in intelligence.
Researchers know that other so-called Tests used to measure individual intel-
modifier genes also play a role in PKU — ligence are called IQ tests (for intelli-
these are genes that affect another gene, gence quotient). Performance on these
thereby altering the latter gene’s effect on tests varies widely among individuals:
the phenotype. Thus, there are many most tested individuals obtain scores
different genotypes underlying PKU, and that fall into a middle range, while a
this certainly is one reason why the minority obtain scores that fall farther
disease manifests itself differently in out on the high and low ends. All the
each child. scores plotted out form a sort of bell-
Environment is another reason. The shaped curve.
form and severity of PKU are profoundly In 1987, a scientist named James
influenced by such factors as when the Flynn reported that, based on IQ data
condition is diagnosed, how soon the from many countries, the raw test scores
special diet is imposed, and how strictly it have been rising rapidly for several
is followed. decades. So while the bell-shaped varia-
Yet in an interesting twist, environ-
mental effects decline over time. A child
In a randomly selected group of
who does not receive a modified diet
people, behavior traits tend to
within days of birth is at great risk for vary along a continuum known
brain damage. The same child in adoles- as a bell shaped curve. In this
cence can follow a slightly more flexible illustration, a trait is indicated as
a "property" that can range from
diet without ill effect. Some adults with Number low to high. An example would
PKU have binged occasionally or moved be scores on an intelligence test:
off the diet altogether without observable most people tend to score near
Property the middle, but some score lower
losses in cognitive function (though stan- Low High
or higher. The higher or lower the
dard medical advice is to maintain the score, the fewer the number of
diet for life). The Bell Shaped Curve people achieving those scores.
CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 27

better functioning on some tasks meas-
ured by IQ tests. Recall once again that
genes code for amino acids, the building
blocks of the proteins that create the
physical structures of cells and trigger
activity inside them. Therefore, while the
environment may be altering brain devel-
opment and causing IQ to rise, it is doing
so through the mechanism of the genes.
tion remains, performance across the

IQ scores are rising, but this does
not necessarily mean that today’s board has gone up. Gene/environment
children are smarter than their This phenomenon has been dubbed interactions
parents. There are many theories the Flynn effect. Flynn’s research suggests By now the reader should be convinced
that explain the IQ rise, but they
that a good deal of this IQ gain can be that genes and environment are both crit-
all come down to the same basic
idea: human environments are attributed to improved performance on ical. Without environment, an organism
interacting with human genes analytical and visual/spatial problems. could not exist because it is from the envi-
to produce different results Performance on verbal and mathematical ronment that it obtains the essential
than before.
problems has increased, but not as rapidly. materials enabling it to grow and survive,
The overall rise in IQ scores cannot such as nutrients, oxygen, and water.
possibly be due to new genetic mutations Without genes, an organism could not
introduced and dispersed throughout the exist because it would not have the mech-
world’s population, since that kind of anism to extract what it needs from the
evolutionary change would take many environment.
hundreds or thousands of years. It is not about nature versus nurture,
The cause therefore must be environ- as that old cliché would have it. It is
mental — something that supports test about nature-on-nurture-on-nature-on-
performance of individuals of all geno- nurture, round and round and round.
types. Several hypotheses have been The term for this complex exchange of
proposed to explain this. It could be due reciprocating influence is gene/environ-
to the fact that people today are better ment interaction. It is not so simple a
nourished and better educated, or that concept as milk and eggs poured into one
modern culture values and supports test- mixing bowl. Rather, the two act upon
taking skills, or that electronic media and with each other. The same genotype
stimulate the brain. in different environments may lead to
Whatever the cause or causes, the similar or different phenotypes. The same
result is that modern brains overall are environment operating upon different
genotypes may also lead to similar or The two genetically similar generations
different phenotypes. Different genotypes have different drinking patterns for a
in different environments may lead to cultural (that is, environmental) reason:
similar or different phenotypes. It all the younger generation is brought up in a
depends upon interactions. culture that places greater emphasis on
Here’s an example of how gene/envi- alcohol.
ronment interaction can play out in real Studies show that Asian Americans
life. There is a gene, ALDH-2, whose pro- with the less active ALDH-2 allele, both
tein product helps metabolize alcohol. immigrant and first-generation, drink less
Some people have an allele for ALDH-2 than their counterparts who have an
that is less effective: alcohol byproducts alternate version of the gene. But there is
remain in the tissues instead of being less of a difference in drinking level
metabolized properly. A person with this between those with and without the spe-
allele is more likely to become flushed, cial allele in the immigrant generation
dizzy, and nauseous in response to compared to their children’s generation.
drinking. It is estimated that 50 percent of This is because members of the immi-
Asian people have an ineffective ALDH-2 grant generation tend to drink little in any
allele. event — whether it makes them sick or
Overall, Asian immigrants to America not. Both genes and environment affect
drink much less alcohol than their alcohol consumption, but at different
children born and raised in the States. rates under different circumstances.2
People who have a particular

allele for the gene called ALDH-2
experience a harsh physical reac-
tion when they consume alcohol.
It is estimated that up to half of
Asian people have this ALDH-2
allele. Whether they choose to
drink or not is shaped by other
factors. For example, some people
may decide that the social
pleasures of drinking override
its unpleasant side effects.

In a Ray Bradbury short story,
a time traveler to the age of
dinosaurs accidentally steps
on a butterfly, thus altering
the course of future events.
This story illustrates how small
and unpredictable events can
cumulatively have significant
effects. In behavioral genetics,
this concept is called “develop- Developmental noise tence, triggering a chain of events that
mental noise.” Complicating the process of gene/ shaped a different future.3
environment interaction is something In the same way, unique and unpre-
called developmental noise. By this is dictable events occur inside each cell.
meant the variation introduced by An extra dollop of mineral is taken up by
minute, random events that occur during one cell, while a molecule of vitamin fails
development and have significant cumu- to reach the cell next door: These kinds of
lative effects on the phenotype. tiny, unpredictable variations cause cells
In a classic science fiction story, a group to develop differently though they share
of hunters time-travel back millions of the same function, genotype, and
years to hunt dinosaurs. Their tour guide external environment. It all adds up to
pre-selects dinosaurs for the kill who are make observable differences in the whole
just about to die from other causes, so as organism.
not to alter the past. But one of the Developmental noise affects physical
hunters accidentally steps on a butterfly characteristics such as the number of
and kills it. When the group travels for- hairs in an eyebrow or the coloring of a
ward again to their own time, everything patch of skin. Likewise, developmental
about their world has changed ever so noise can have subtle but far-reaching
slightly. Just one butterfly died, but gener- effects on behavior.
ations of offspring never came into exis-
Gene/environment the musically gifted girl who resists the
correlations path laid out by her musical family,
Another factor shaping behavior is for example. Positive gene/environment
gene/environment correlation. A gene/ correlations increase the range of pheno-
environment correlation occurs when typic variation stemming from a given
individuals with a genetic propensity for a genotype, while negative correlations
trait live in environments that support decrease the range.
expression of the trait. This kind of corre-
lation can occur in two ways, passive and
active. Shared and nonshared
Suppose a young girl who is genetically environments Some people may be musically
gifted for music is born into a talented Does growing up in the same home gifted, but we do not yet have
sufficient scientific data to
family of musicians (for sake of argument, with the same parents, same physical
explain any relationship between
let’s gloss over the meaning of “geneti- surroundings, and same everyday experi- genes and talent. We can say,
cally gifted for music”). She is surrounded ences make you turn out like your however, that musical skill
by family members who practice and per- siblings? Does having different friends emerges from the interaction
of genes and environments.
form. Her home is filled with instru- make you different from your siblings?
ments, and music plays on the radio all Let’s take a closer look at the first ques-
day long. The girl is raised in a home that tion. Growing up together in the same
supports the flourishing of her musical home — which falls into a category called
ability. This is an example of a passive shared environment — does make siblings
gene/environment correlation. similar in terms of the cultural traditions
Suppose a boy who is genetically gifted they inherit: similar in terms of language,
for music is born into a nonmusical modes of dress, diets, and so on.
family. As a youngster, his parents take However, many studies suggest that
him to a parade. He is so excited by the shared home environment does not do
marching band that he persuades his par- very much to make siblings resemble each
ents to let him take drum lessons. In high other in terms of personality and actions.
school, he joins the orchestra and chooses Each child turns into a distinct character
music electives. He applies to and who behaves in individual fashion, despite
receives a scholarship to an elite music parents’ efforts to raise all their children
school. The boy seeks out activities that impartially and despite similarities in geno-
support the flourishing of his musical types of the siblings (remember that
ability. This is an example of an active biological siblings are half alike genetically,
gene/environment correlation. on average, and twins are fully alike genet-
The above examples show positive cor- ically except for a few differences caused
relations, but negative ones may occur: by mutation and epigenetic factors).

Now consider the second question. unique point in historical time and at a
Your unique set of friends is just one unique moment in your life, with a
example of the many, many experiences unique set of other communicants, before
that you do not share with a sibling. a unique congregation, etc., etc.
These experiences contribute to what is Such incongruity has led scientists to
called your non-shared environment. redefine shared environment. They say it
Other examples of unique, idiosyncratic is one that works to make those who
non-shared experiences include your experience it similar for a particular trait.
prenatal life, your birth, your childhood By the same token, they have redefined
illnesses and accidents, your particular nonshared environment to be one that
combination of teachers, your summer works to make those who experience it
camps, and so forth, on through life. dissimilar for that trait. Some scientists
Say that when you turn seven, you are troubled by the seeming circularity in
undergo the Roman Catholic ritual of these definitions; the definition problem
Many children attend summer
camp, yet each child uniquely First Communion just as all your siblings underscores the difficulties that environ-
responds to and is affected did when they each turned seven. ment presents for researchers.
by this episode of early life. Although to some degree this is a shared In any event, it doesn’t take much
Summer camp, therefore, is
experience, it falls into the category of imagination to recognize that the number
both a shared and non-shared
experience. non-shared environment to the extent of nonshared environmental factors in
that your communion takes place in a anyone’s life is so large that together they
must have some impact. And indeed,
from behavioral genetic studies it appears
that the nonshared environment has a sig-
nificant effect on behavior; it is possibly
more significant than genes or shared
environments.
But since much of the nonshared envi-
ronment is random, accidental, and
unsystematic, it may well defy study. This
makes things difficult for researchers.
Some scientists are working on devel-
oping a theory of the envirome (the envi-
ronment surrounding and affecting a
genome) so that it can be studied with the
same precision as the genome.
Environmental factors, whether shared or
nonshared, do not lie on anything so
tangible as a DNA strand; this makes them population — where everyone’s growth is
hard to discern. They are essentially infi- stunted — will be lower (closer to zero)
nite; this makes the job difficult to finish. than in another population that is well
The big question is, what environmental nourished — where everybody’s genetic
factors are relevant, discrete, and measur- potential can be realized. In both
able: socioeconomic status? birth order? Example 1 and Example 2, zero and low
number of books in the home? occupation heritability occur even though genes play
of parents? climate? prevailing attitudes in a critical role in development and growth.
one’s social milieu? Mapping the envi- Example 3: The heritability of blood type
rome is such a formidable task that some in a random human population
dismiss it as a hopelessly naïve endeavor. approaches 1. The phenotypic variation is
And yet researchers chip away at it. mainly attributable to genetic variation.
Note that this does not reveal anything
about the particular blood type of any
Heritability individual person in the group.
Vision is a heritable trait.
(and environmentability) Heritability is a slippery, confusing con-
It varies phenotypically among
In the meantime, the field relies on a less cept. Because “heritability” sounds like humans, which means that
sophisticated tool, a simple mathematical “inherited,” heritability figures are often everyone does not see equally
formula that produces a heritability misconstrued as describing an individual’s well. Instead, human eyesight
ranges from very poor to
estimate. Heritability is the proportion of chances for inheriting a trait, even though excellent. If science advances
phenotypic variation in a population that heritability is a measure that applies only to the point where all vision
is due to genetic variation. Some to groups. Another problem with the con- deficiencies are corrected by
lenses and surgery, then vision
researchers also use the word environ- cept is that sometimes when the word
would no longer be a heritable
mentability to describe heritability’s coun- “heritable” is used to describe a trait, it is trait.
terpart, that is, the proportion of misunderstood to mean unchangeable.
phenotypic variation in a population that Yet near-sightedness is both a heritable
is due to environmental variation. The trait and fixable through eyeglasses,
heritability and environmentability for contact lenses, and laser surgery.
any given trait are proportions that For scientists, heritability estimates are
together add up to 100 percent. unsatisfactory. They are, after all, simply
Here are three simple examples that estimates. They apply only to the popula-
demonstrate heritability. Example 1: tion being studied in one particular
The heritability of having a brain in any environment and at one point in time.
population of humans is 0, because They do not reveal anything about the
everyone has a brain; there is no pheno- specific genetic and environmental factors
typic variation. Example 2: The heri- underlying a trait. And yet heritability
tability of height in a malnourished estimates have their value.

It is possible, through a type of study A possible clue to this conundrum
that will be described in Chapter 4, to comes from honeybees. In any honeybee
come up with a heritability estimate for a colony, there is only one queen. She is
trait that looks like this: additive genetic very much larger than all the others,
influence, .xx; nonadditive genetic influ- and her function is to lay the eggs.
ence, .xx; shared environment, .xx; and The worker bees tend to the queen, take
nonshared environment, .xx — with all care of the young, fetch the nectar, and
the .xx’s adding up to 1.0 or 100 percent. keep the hive maintained.
By calculating such estimates, From the queen’s fertilized eggs come
researchers have learned what we the next generation of workers and the
reported in our introduction — that future queen. From a cluster of eggs, just
essentially all behavioral traits have a one will grow into a mature queen that
genetic component — and also what we looks and behaves quite differently from
reported earlier in this chapter – that non- all other bees.
shared environments have significant Scientists have wondered how one bee
influence on a trait compared to the genes becomes queen and other genetically sim-
and the shared environment. By repeated ilar bees do not — as Skip would put it,
application of this tool across similar how one bee turns into a “somebody”
studies, researchers also have learned that and the others remain “losers.” Using a
heritability of a trait can change (though relatively new technique to study DNA,
for many traits it remains stable both scientists recently learned what happens
across populations and over time). inside the cells of bees to create difference
Heritability measures also have been used in status. They have discovered that diet
to direct research toward those traits that makes the difference. Larvae develop into
in some contexts are highly heritable — workers when they are fed nectar and
the theory being that genes contributing pollen. Larvae develop into queens when
to such traits may be more susceptible to fed royal jelly, a substance secreted from
discovery. the glands of worker bees.
Depending on the nutrition each bee
receives in the larval stage (an environ-
Skip’s regrets mental input), certain genes are switched
Skip, the despondent assistant restaurant on (through epigenetic effects) that influ-
manager, wonders why he is such a ence development (by coding for partic-
failure. Is it the fault of the qualities he ular amino acids). Scientists have found
was born with? Can he blame his mother? seven different genes in honeybees that
Is he a victim of circumstance? Could it be are activated differentially by nutrition,
— as harsh as it sounds — his own fault? though they suspect many more are
involved. The question not answered in Researchers believe that the same gene
this research is how worker bees choose may operate in humans, though they can
which larvae to supply with royal jelly only speculate as to the behavior it affects.5
and which to feed the commonplace diet The ability of insects with similar geno-
of nectar and pollen.4 types to acquire substantially different
Scientists pursuing another recent line phenotypes under different environ-
of research have uncovered a second hon- mental conditions occurs not only in hon-
eybee phenotype switch. Female honey- eybees, but also in other social insects
bees graduate from hive-keepers into such as ants and termites. Nutrition, tem-
foragers, usually at about two weeks of perature, day length, and other environ-
age. This job change has been tracked to mental factors interact with the genes of
the effect of a single gene. The same gene these insects to affect phenotypes. Several
exists in fruit flies, and it determines species of butterfly change wing color
whether a fly seeks out food near home or with the changing seasons. Dung beetles
searches in a wider range. Further study grow horns or not, depending on their
is needed to discover what triggers the diet. Many such examples can be found
genes to trigger the change in behavior. in nature.
Scientists believe that a

honeybee’s occupation, such as
hive-keeper or forager, may be
determined by epigenetic factors
switching a gene on and off.
Human occupations are not
decided in such a biological
manner.

Developmental pathways combine to make which proteins that
The route from egg to larva to worker or would have made him more successful
queen is called a developmental pathway. and happier. Even if he knew all that,
Somehow, Skip’s developmental pathway Skip could not change his past.
has taken him to a place he does not However, Skip can make use of the
enjoy. He has not become a leader like a scientific metaphor of complexity. At age
queen honeybee. He has not even 32, he still has time to move forward on
climbed up the career ladder like the his developmental path. Science cannot
worker bee promoted from hive-keeper to advise him on what to do to improve him-
forager. The bees at least are part of a self, but he has a thinking mind; he can
social group, but Skip feels lonely and consider his assets and his available
alone. choices.
Alas, Skip cannot know what went Skip has now what he did not have
wrong in his life by looking at honeybees. before: wisdom earned through experi-
There is no human equivalent to royal ence and a desperate resolve to change.
jelly that, had his mother fed it to him, What he needs is some self-respect. He
would have turned him into a great should remember that all human beings
The developmental pathway of achiever. Human occupations are not are genetically similar, just as the honey-
any living organism continues decided at the whim of a few genes bees in a hive are. Skip has always had
throughout life. Through their
triggered on or off. Changing seasons and the inborn potential to turn out differently
conscious behavior, humans are
able to exert at least some changes in diet do not determine the — to become better. He still has it.
control over their destinies. human ability to make wise relationship
decisions.
Unlike honeybees, humans — at least
Notes
in free societies — have options.
1 Clausen et al. (1948).
Certainly humans have consciousness — 2 See Carey (2003, pgs. 78-79) for discusson of ALDH-2
a sense of existence within a surrounding, research.
3 Ray Bradbury’s “A Sound of Thunder” (1952).
a sense of being able to take action.
4 Evans, J. D. and D. E. Wheeler (1999).
Skip remembers that when he was a 5 Ben-Shahar, Y., et al. (2002).
child his mother used to say, “If pigs had
wings they would fly.” That was her way
of telling him not to pine for what he does
not have. Science cannot tell Skip pre-
cisely which environmental inputs could
have been put into place to stimulate
which epigenetic effects to trigger which
genes for which amino acids that would
Angier, N. 2002. “Honeybee shows a little gene activity goes miles Moczek, A. P. 2002. “Research interests/Research system and
and miles.” New York Times 7 May, F-3. approaches.” University of Arizona/Tucson Nagy Research Center
(accessed 6 May); available at http://www.mcb.arizon.a.edu/
Ben-Shahar, Y., A. Robichon, M. B. Sokolowski, G. E. Robinson. 2002. nagy/moczekresearch.html.
“Influence of gene action across different time scales on
behavior.” Science 296: 741-744. National Institutes of Health. 2000. NIH consensus statement:
Phenylketonuria (PKU): Screening and management. 17, No. 3.
Biological Sciences Curriculum Study (BSCS). 2000. Genes, environ-
ment, and human behavior. Colorado Springs: BSCS. Pennisi, E. 2002. “One gene determines bee social status.”
Science 296: 636.
Brown, P. “Brain Gain.” 2 March, 2002. New Scientist: 24-27.
Plomin, R., J. C. DeFries, G. E. McClearn, and M. Rutter. 1997.
Burghes, A. H. M., H. E. F. Vaessin, A. de la Chapelle. 2001. Behavioral genetics, 3rd ed. New York: Freeman Press.
“The land between Mendelian and multifactorial inheritance.”
Science 293: 2213-2214. Schaffner, K. Forthcoming. “Behaving: Its Nature and Nurture,”
in Parens, E., A. Chapman, and N. Press (eds.), Wrestling with
Carey, G. 2003. Human genetics for the social sciences. Thousand Behavioral Genetics: Implications for Understanding Selves and
Oaks, CA: Sage Publications. Society.
Clark, W. and M. Grunstein. 2000. Are we hardwired? The role of “Seasonal polyphenism in butterfly wings.” 2002. (accessed 6 May);
genes in human behavior. New York: Oxford University Press. available at http://www.devbio.com/article.php?ch=22&id=212.
Clausen, J., D. D. Keck, and W. M. Hisesy. 1948. Experimental studies Turkheimer, E. 2000. “Three laws of behavior genetics and what they
on the nature of species. III. Environmental responses of climactic mean.” Current Directions in Psychological Science 9: 160-164.
races of Achillea. Carnegie Institute Publication No. 581,
Washington, D. C. Withgott, J. 1999. “Genes for queens: Understanding more about
bee genetics.” University of Arizona College of Agriculture and
Evans, J. D. and D. E. Wheeler. 1999. “Differential gene expression Life Sciences 1999 Arizona Agricultural Experiment Station
between developing queens and workers in the honey bee, apis Research Report. (accessed 6 May); available at
mellifera.” Proceedings of the National Academy of Sciences http://www.ag.arizona.edu/pubs/general/resrpt1999/
96: 5575-5580. beegenetics.pdf.
Gottesman, I. 2002. “Nature-nurture controversy,” in Brenner, S. and
J. H. Miller (eds.), Encyclopedia of Genetics. London: Academic
Press. Vol. 3, pp. 1297-1302.

chapter four
HOW IS GENETIC RESEARCH ON
BEHAVIOR CONDUCTED? 4
■ ■ ■ Anja, an identical twin

Anja has an identical twin sister, Anke, who looks
so much like her that they have trouble telling
who’s who in childhood photographs. Anja and
her twin have the same curly brown hair, the
same charming grin, and the same lanky bodies.
Both are left-handed, nearsighted, and allergic
to cats. In many such ways the twins are physi-
cally alike.
Yet if you stand the twins side by side, you can find physical distinctions.
Anja has a light-brown birthmark near her left ear that Anke does not, and
she is a half inch shorter than her sister.
There are non-physical differences, too. Anja is a professional writer
while her twin works in graphic design. Anja likes her cup of coffee in the
morning while her sister starts the day with diet cola. Anja likes to run for
her exercise, and Anke prefers to swim. Anja dresses more conservatively
than her sister, but is politically more liberal. Anja has a dry sense of
humor, yet her twin is the one who tells outrageously funny stories.
Sometime when Anja is talking with her twin and they both start to say
the same thing at the same moment, she wonders what makes them think
so much alike. Other times, such as when Anke shows up wearing a new
tattoo or puts another pro-gun bumper sticker on her truck, Anja wonders
why they think so differently. She knows that their identical genes make
them look almost identical. But why don’t those identical genes make
their minds identical, too?
Animal studies selective breeding experiment con-
The “teacher’s pet” of behavioral genetic tributed early evidence to the claim that
research is the common fruit fly, Drosop- heredity plays a role in behavioral traits.
hila melanogaster, and some 2,000 The mice and rabbit studies described
related species. The fruit fly is a favorite of in Chapter 2 and many others like them
researchers for simple reasons. Fruit flies were all modeled after this original fruit
are easy to collect and keep: just bait a jar fly experiment. Bacteria, yeast, shrimp,
with overripe fruit and trap them. They moths, spiders, mosquitoes, ants, snails,
reproduce rapidly and copiously; the time cats, and dogs are just a few of the many
span from egg to adult is less than two other species that have served as subjects
The fruit fly Drosophila melano- weeks and one female produces hundreds for behavioral genetic research.
gaster is tiny (about 3 mm long)
and short-lived (about 2 weeks).
of offspring. Fruit flies willingly cooperate When they study animals, genetic
However, its petite size and quick in researchers’ efforts to selectively breed researchers frame questions in terms of
life cycle, plus its non-fussy eating them and to run them through all sorts of variations in behavior among individuals
habits, make it the ideal study
experiments. What’s more, fruit flies do within a species. They explore such ques-
organism for behavioral geneti-
cists. not bite and do not transmit disease to tions as:
humans, and researchers do not need to • How do bacteria vary in their use of the
obtain government approval to ensure little whips, called flagellae, by which
that the research protects the flies’ rights they propel themselves?
and privacy. • How do worms vary in their response
Basic genetic research on fruit flies to stimuli such as touch, taste, smell,
started more than 100 years ago, but the and temperature?
classic study on behavior dates to the • How do variations in the trilling calls of
1950s. Researchers noticed that if you male crickets affect their attractiveness
put fruit flies in a tilting maze, some to female crickets?
would crawl upward and others would • How do bee species differ in the ratio of
crawl downward. This tendency to move pollen to nectar they collect?
with or against gravity is called geotaxis. • How do fish vary in their use of specific
The researchers selected fruit flies that courtship rituals such as swinging,
preferred to move uphill and bred them sidling, nibbling, pecking, and thrusting?
together and did the same for fruit flies • How does the variation in feather color,
that preferred to move downhill. When plumage, and body outline of male
after many generations they had created chickens affect their attractiveness to
strains of fruit flies that consistently females?
responded to gravity in the same way, the • How do rats differ in play, how do pigs
researchers were able to conclude that differ in responses to stress, and how
there was a genetic basis to geotaxis. This do chimpanzees differ in personality?
As this partial list suggests, questions behavior within inbred strains. Since
Cloned animals allow researchers
about behavior are endless. One way members of an in-bred strain are geneti-
to observe how organisms with
such questions are researched is through cally alike, observed differences in identical genes develop differ-
breeding experiments already described, behavior can be attributed to pre- or post- ently. This provides clues as
in which researchers create distinct lines natal environmental causes. to the interactive effects of the
environment on genes.
that consistently and reliably diverge in Animals make excellent research
behavior on a particular trait despite min- studies not merely because they can be
imal environmental variation. bred at will and kept in controlled envi-
Another method is to create inbred ronments. Another reason they are so
strains. These are whole populations of suitable is that, as mentioned in Chapter
genetically near-identical animals that 2, their genomes are related to ours.
have been created by mating brothers to When researchers discover the function
sisters for a number of generations. (In and location of genes associated with
recent years researchers have learned behavioral traits in animals, they have
how to make inbred strains through clues as to the function and location of
cloning.) Researchers look for variations genes associated with related behavioral
in behavior between different inbred traits in humans. Such research requires
strains reared in identical environments, species-specific genome maps and knowl-
as evidence of genetic components to edge of which regions correspond across
behavior. They also look for variations in species.
CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 41

Family Studies This type of study can reveal whether
A fundamental experimental method the trait runs in the family. It does not
involving humans is the family study. explain why. Both genes and environ-
This starts with one person, called the ment are implicated because the mem-
proband, and the focus is on one partic- bers of a biological family are similar
ular trait possessed by that person. genetically and also tend to live in similar
The proband’s family tree (pedigree) is environments. However, it is sometimes
drawn up to include first-degree relatives possible to get a clue about cause from a
(parents, siblings, and children) and family study. For example, if a proband
Scientists refer to identical twins sometimes also second-degree relatives has a trait in common with first-degree
as MZ twins (for monozygotic,
meaning developing from a single
(aunts, uncles, grandchildren, grandpar- relatives and also with more distant rela-
fertilized egg), because they are ents, and nephews or nieces), plus even tives, the possibility is raised that the
not truly identical, not even more distant family members. The mem- cause comes from the environment
genetically. Developmental and
bers of the family tree are looked at to see shared by the family rather than shared
epigenetic factors cause each
twin’s genes to be slightly unique who, if anyone, has the trait identified in genes.
and to operate in unique fashion. the proband or related traits.
Twin Studies
In twin studies, researchers actively
recruit living twins. They observe the
twins’ behaviors, give them personality
tests, interview them, and ask them to fill
out surveys. Researchers also extract data
on twins from existing databanks, such as
records on hospital patients or members
of the armed forces.
Twin studies rely on the fact that iden-
tical (MZ or monozygotic) twins have
essentially the same set of genes while fra-
ternal (DZ or dizygotic) twins have, on
average, a half-identical set. A basic
assumption in these studies is that since
pairs of both types are raised alongside
each other, both types are affected by
their environments to an equal degree.
In other words, the environment of an
identical twin pair is not working to make
those two alike to any greater degree than
the environment of a fraternal twin pair
makes those two alike. The single factor
making identical twins more alike com-
pared to fraternal twins is their greater
genetic similarity. This is called the equal
environments assumption.
Given this assumption, twin pairs may
be examined for a particular trait such as
autism, scores on a personality test, or
educational attainment. Data from many
twin pairs are collected and the rates of
similarity for identical and fraternal pairs
are then compared.
If the trait under study is discrete —
either present or absent, such as a disease
— concordance rates are calculated. This
is the proportion of the twin pairs that
both have the trait under study. If the trait
under study is continuous — appearing to are indicated when identical twins are
different degrees in individuals, such as dissimilar for a trait. Fraternal or DZ (dizygotic) twins
height or I.Q. — then a correlation coeffi- In the typical twin study, all three typically are born at the same
time and are raised very similarly,
cient is calculated. This number reflects sources of influence are operating simul-
just like identical twins, but
the extent to which the measurement or taneously, but can be teased apart and they are only about half alike
score for one twin predicts the measure- given “weights” by combining data from genetically. Scientists look at
ment or score for the second twin. family strategies. how a particular behavior trait
varies between pairs of identical
Here’s how twin study findings are ana- Here are two examples. A study on twins and pairs of fraternal twins
lyzed: male homosexuality and bisexuality pro- to mathematically estimate how
• Genetic influence is indicated when duced a concordance rate of .52 for iden- genes (and by inference, environ-
ments) affect that behavior.
the concordance rate or correlation tical twins and .22 for fraternal twins (it
coefficient for identical twins exceeds can help to read a correlation of .52 as “52
that for fraternal twins; percent”).1 It has been found that identical
• Shared environmental influences are twins have a correlation of .96 for the
indicated when the similarity for both ridge pattern in their fingerprints while
types of twins are quite close (and sig- fraternal twins have a correlation of .47.2
nificantly more than zero); and Note that in the first example, the con-
• Non-shared environmental influences cordance rate for identical twins was not

1.0 and the concordance rate for fraternal in sexual orientation in the male popula-
twins was not .5. This suggests that homo- tion is anywhere from under one-third to
sexuality and bisexuality are not purely just about two-thirds a factor of heredity.
determined by genetics. Note in the This leaves ample room for influential
second example how much closer the cor- environmental effects.
relation rates are to 1.0 percent and .5,
respectively. This suggests that the phys-
ical features of a fingerprint are very highly Adoption Studies
determined by one’s genetic make-up. Adoption studies look at biologically
Heritability estimates also are derived related people who have been reared
from twin studies. As explained in apart. One method is to compare identical
Chapter 3, such estimates are based on twins adopted into separate homes, that
ratios: the relationship between the phe- is, into measurably dissimilar environ-
Scientists learn about the
notypic (observable) variation of the trait ments. The disparate environments are
genetic influence on behavior in twin pairs and the genetic variation for assumed to shape them differently so that
(and by inference, the environ- those twin pairs. Ratios for identical twins similarities in traits are attributed, at least
mental influence on behavior)
and fraternal twins are compared to in part, to genetic effects.
by comparing the traits of
biologically related siblings, calculate heritability. Another method compares adopted
non-biologically related siblings, In the sexuality study quoted above, children to both their biological and adop-
parents and their children the researchers estimated heritability for tive parents. Evidence for partial genetic
(related biologically and not),
male homosexuality and bisexuality of influence on a trait is found when
adoptive and biological parents
and their children, and other between .31 and .74. Notice how broad adoptees are more similar for the trait to
combinations. that range is. It suggests that the variation their biological parents than to their adop-
tive parents. Evidence for some environ-
mental influence is found when the
adoptee is more like his or her adoptive
parents than the biological parents.
Yet another adoption method is to com-
pare adopted children to other children in
the family who are biological offspring of
the parents. Similarity found here would
suggest environmental effects for the trait
under investigation, while dissimilarity
would suggest genetic effects.
Adoption studies are not as numerous
as family or twin studies because subjects
are hard to find, especially given the
decline in within-nation adoption over the trait under study. For example, a sub-
the past several decades. Also, in coun- ject who is gauged as “highly religious”
tries such as the United States where in one study might not be so categorized Family Twin
adoption records are confidential, it can in another. Therefore, researchers must
be difficult for researchers to get accurate assume degrees of error and hope that the
Adoption
information about the biological parents. signal outweighs the noise.
Today, researchers attempt to be
consistent with each other in their data
Combined studies collection methods. They collaborate on
We have described family, twin, and diagnostic measures and study designs In a meta-analysis study, data
adoption studies as distinct types of with the intention of eventually pooling from family, twin, and adoption
studies on the same trait are
research, but in practice they can their data for meta-analysis. Several such
pooled together and analyzed,
overlap. As just noted, an adoption study projects are underway involving teams in an attempt to extract more
might look at pairs of twins that had been across the country and around the world. meaning.
adopted away into different families. These studies are investigating schizo-
Some studies have unusual permuta- phrenia and other mental illnesses,
tions, for example, a family study might alcoholism, autism, and many other
include stepchildren who are related to behavioral disorders.
one but not both parents.
Furthermore, data from all three kinds
of studies can be pooled together. This Linkage analysis
kind of undertaking, called meta-analysis, The traditional way that behavior has
attempts to extract more meaning out of been studied by geneticists using twin,
data that have been generated by multiple family, and adoption studies is referred to
studies of the same trait. In a mathemat- as quantitative research, because the
ical exercise called model fitting, several objective is to identify how behavioral
plausible explanations, in the form of traits vary by degree (quantitatively) in
mathematical formulas, are proposed that individuals in a population. Molecular
express the relative contributions of research, which probes at the DNA level,
genetics and environment to the variance complements this classical approach.
for a trait. The combined data are plugged Such research makes use of the tremen-
into each model to see which one best dous computing power that has come
explains the variance. about in recent years. It also takes advan-
One of the problems confronted by tage of the completed drafts of human,
model fitters is that different studies animal, and insect DNA sequences
might use different diagnostic measures achieved through the Human Genome
to identify those who have or do not have Project and related ventures.

recombination depends on the distance
between the genes. If the two alleles on
one chromosome are far apart, one of
them is likely to end up on the other
chromosome from the pair after recombi-
nation. If the two alleles are close
together, they are likely to remain on the
same chromosome from the pair after
recombination. Remember that the two
chromosomes of each pair peel off into
separate germ cells. The alleles that
remain together on one chromosome
after recombination will be inherited
together. The alleles that end up on
different chromosomes will not be inher-
Before the advent of modern molecular ited together.
Through increasingly sophisti- genetics, researchers did not have any In classical linkage analysis, researchers
cated techniques, researchers efficient means for pinpointing the genes collect data on two variables from family
have been able to find the
that underlie a trait. Their main resource groups. The first variable is the trait being
locations of genes within chromo-
somes and to identify the effects was an approach called linkage analysis researched. The second variable is called
those genes have when activated. that helped them close in on the neigh- a genetic marker. This is a gene whose
borhood along a chromosome where a precise location on a chromosome is
gene for a trait might be located. already known. For each family member,
Linkage analysis relies on the fact that researchers record whether and to what
chromosomes are paired. In germ cells, extent the trait is present and which
the two chromosomes in a pair commonly allele for the marker gene is present.
exchange genetic material before the full They note how often the trait and any
complement of chromosomes splits in half particular allele for the marker gene are
to create the sperm and egg cells of repro- inherited together. Where a pattern of
duction. This exchange is called recombi- frequency occurs, this suggests that the
nation or crossing over. Recombination is a gene for the trait is near the marker gene
normal exchange process, unrelated to (“linked”) because the combination of
mutation, that enhances genetic diversity. alleles for the two genes (haplotypes) is
It creates new combinations of alleles on not being broken apart in recombination.
each chromosome. Researchers make statistical calculations
The frequency with which the alleles from their data to come up with a
for two different genes get separated by lod score (“lod” stands for “logarithmic
odds” or “likelihood of odds”). The with a discrete sequence of DNA in the
higher the lod score, the higher the prob- genome that varies in the population,
ability that the two genes are close by on rather than with an entire gene. (Many
the same chromosome. such variable DNA sequences exist in the
Researchers do this type of analysis with genome of humans and other organisms.)
several families. They also look for linkage Subsequently, researchers learned how to
between the gene for the trait under study track the co-inheritance of a trait with
and several different marker genes. single bits of DNA in the genome that
The first tactic helps them confirm linkage vary in a population (these are called
and the latter tactic helps them better SNPs or single nucleotide polymor-
target the approximate location along the phisms). This refined search capability of
chromosome of the trait-related gene. modern linkage analysis has been used to
Linkage analysis has shortcomings. reveal the actual location of many genes
It does not reveal the precise locations of along the chromosomes.
genes. Furthermore, it is suitable only for Also thanks to technological advances,
one type of gene – what researchers refer researchers no longer have to bother
to as a major gene. This term describes with tracking the co-inheritance of a trait
genes for which an allele, acting by itself, with a single marker or SNP at a time.
is sufficient to trigger significant and Instead they do whole genome scans.
easily observable phenotypic differences DNA samples are simultaneously read at
in a trait. In humans such genes are pri- dozens or more markers or SNPs located
marily associated with health disorders, along the chromosomes to see if any par-
and so linkage analysis has mainly been ticular DNA sequence shows up more
applied in the search for the responsible than randomly in individuals who have
gene in rare single-gene disorders that the trait. The noun genotype is turned
heavily affect some families, such as into a verb to describe this activity.
Huntington’s disease. Classical linkage Genotyping makes it technically feasible
analysis has much less practical value for to find the location of multiple genes that
researchers studying behavior. This is play minor roles in traits. This kind of
because in almost all cases, behavior is research is called QTL analysis. As you
affected by multiple locus genes — by may recall, QTL stands for quantitative
many genes whose alleles, operating in trait loci. Through QTL analysis,
synchrony, each contribute in some small researchers seek the location of the many
way to observable differences in a trait. genes whose alleles, in their many
By 1980, advances in technology had different forms, affect a variable trait.
enabled researchers to develop a method
for tracking the co-inheritance of a trait

Association studies labs in recent years has been described as
Another molecular research route is the a “veritable cascade.”3 These studies cover
association study. This focuses on a single a broad spectrum of diseases and traits —
gene that has already been isolated, the Parkinson’s disease, multiple sclerosis,
candidate gene. Through the association restless leg syndrome, smoking behavior,
study, researchers seek to identify and migraines, to name just a few.
whether the variation in this gene’s alleles
might be statistically associated with vari-
ation in a particular trait. Microarray analysis
DNA samples are taken from subjects Recall the quantitative experiments in
who have the trait and a similar number behavioral genetics involving fruit flies
of subjects (a control group) without the and gravity, described earlier in this
trait. Each subject’s DNA is genotyped to chapter. From these experiments
see which allele is present at the genetic researchers knew that genetics was
locus under study. A statistical test is then involved in geotaxis, but they could not
conducted to see if any allele shows up show how. In 2002 — fifty years after
more frequently in subjects with the trait that initial research — scientists were
Microarray analysis allows compared to subjects without the trait. finally able to identify several of the many
researchers to visually observe Association studies have two advan- genes involved in this trait. The molec-
expressed genes. This technique is
tages over linkage analysis. First, they ular technology that allowed them to do
providing important clues about
the mysterious relationship require a smaller number of subjects this is microarray analysis. This technique
between genes and behavior. who do not have to be related. Second, is revolutionary because it allows scien-
they can help identify specific genes, not tists to examine thousands of genes
just chromosomal regions. This moves simultaneously.
researchers that much closer to the next Here is a simplistic explanation of this
step, which is to figure out how specific complex procedure: an organism’s
genes correlated with a trait contribute genome is extracted and placed in seg-
to the biological processes underlying ments on a chip. The chip is soaked in a
that trait. solution containing RNA that has been
The complete mapping of the human expressed by a particular cell. The solu-
genome has helped researchers find candi- tion also contains a fluorescent dye.
date genes on which to focus their If a particular gene is expressed in the
research using the association method. cell, the RNA from the solution will bind
Animal studies also have helped identify to it. This will cause that particular seg-
good targets for association studies using ment to light up. The more the gene is
human subjects. The quantity of associa- expressed, the stronger the fluorescence.
tion studies churning out from research In the recent fruit fly investigation,
Knockout studies
••••••••••••••••• One final molecular research method
•••••••••••••••••
••••••••••••••••• used in behavioral genetics will be
••••••••••••••••• described here. This technique has been
••••••••••••••••• applied to mice but not to humans, for
•••••••••••••••••
••••••••••••••••• reasons that will be obvious once you
••••••••••••••••• learn about it. It is the knockout study.
••••••••••••••••• Researchers use modern laboratory tech-
••••••••••••••••• niques to deactivate a gene in stem cells
•••••••••••••••••
••••••••••••••••• (undifferentiated cells that can turn into
specialized cells). These cells are inserted
into an embryo that is then implanted
In microarray analysis, genomic material from into the womb of a female. After the
a cell is placed on a slide soaked in an RNA offspring is born and has matured, its
solution. Genes that are expressed in the cell
germ cells (sperm or eggs) are examined
bind to the RNA, causing a fluorescent reaction.
to see if any evolved from the altered
stem cells. Those germ cells are used for
microarray analysis helped scientists find breeding to create a line of knockout
genes that were expressed in the flies mice, all missing the target gene.
that like to crawl up and in those that The knockout mice are studied to see
like to crawl down.4 whether their behavior differs from
Researchers also use microarray tech- untreated mice. If a behavior is altered
niques on humans. For example, they when the gene is knocked out, then the
take tissue samples from subjects with gene is implicated. Similar techniques are
and without a mental disorder or some used to knock in genes. It also is possible
other observable trait. They then com- through these techniques to add or deac-
pare results from the two types of sub- tivate even a small segment of DNA in
jects to learn which genes are involved order to determine the function of a
and their expression patterns. With the gene’s component parts. Researchers also
increasing popularity of microarray can move a gene from one spot in the
experiments, huge amounts of data are genome to another to see how location
being produced that eventually should affects expression.
lead to a better understanding of how Mice behavior traits that have been
specific genotypes relate to phenotypes. studied using this kind of genetic manipu-
lation include movement patterns, will-
ingness to explore, weight retention,
learning and memory, social interaction,

and stress response, among many others. would cause them to end up with slightly
Since mice and humans have similar different heights. Anja is a little shorter
genomes, researchers hope to obtain from than her sister perhaps because she
the mice studies clues about correspon- received a slightly less copious supply of
ding genes in humans. nutrients through her umbilical cord
during fetal development, compared to
her twin. Perhaps her sister crowded her
Anja’s Question in the uterus. After birth, she might have
Research in behavioral genetics has pro- had an illness her twin did not have that
vided an answer to the question posed by ever so slightly retarded her growth.
Anja. She is the woman who wonders Perhaps she did not like milk as a child,
why her appearance is so very similar to and so her body had less calcium
her identical twin’s but her behavior is with which to build bones in the forma-
not so much alike. tive years.
The answer has two parts. First, the The twins’ nearsightedness is a
Variations in nutrition, education, role of genes in physical development is product of their genetic endowment
upbringing, and other aspects far more direct than it is in behavior. operating in an environment where
of environment help make each
human personality unique.
Second, non-shared environmental influ- people spend long hours staring at elec-
Even genetically identical twins ences (including chance occurrences) are tronic screens and reading small type.
have distinct personalities, so great that they cause even closely Slight differences in these conditions
resulting in large part from
attached twins to develop personalities as might cause the twins’ eyesights to differ
environmental effects.
different from each other as those of any slightly. If there are major environmental
ordinary pair of non-twin siblings. differences, such as if one twin contracts
Here’s a more detailed explanation. a virus that triggers a serious eye infec-
The twins’ similar height is a product of tion or if one twin is hit in the eye with
skeletal structure (among other things). a BB gun pellet, there could be a larger
Scores of genes encode for the amino difference in their visual abilities.
acids that engender proteins that influ- Anja has a birthmark that her sister
ence bone length. The work of these does not, and this is explained by devel-
genes is affected by their interactions opmental noise operating on genetics.
with other genes, their interactions with Random chance resulted in extra pigment
the environment, developmental noise, cells clustering near her ear, resulting in
and the epigenetic factors that control the light-brown mark.
gene expression. A multitude of genes encode for the
All sorts of small environmental vari- amino acids that, in chains linked
ables surrounding two genetically equiv- together as proteins, build and maintain
alent females who are raised similarly the various parts of the brain and their
connections and that move nerve different memories are saved and stored.
impulses throughout the body. These Differences build upon differences to
genes, too, are influenced by interactions create two unique personalities.
with other genes, interactions with envi- It should be noted that behavior is not
ronmental factors, developmental noise, exclusively a product of the brain. Other
and epigenetic effects. As a result, the organs play their part, too. For example,
twins have brains that differ in structure your kidneys affect how you handle
and in the neuronal connections through alcohol and your lungs affect your ability
which impulses are processed. to run. So in parallel to this description of
But behavior is a product of the brain. the brain, the many other organs in the
Anke’s predilection for decorating her respective bodies of Anja and Anke follow
body with tattoos, to take one example of unique developmental pathways and thus
a behavioral trait, is mediated in the brain have different mediating effects on the
but it is not a part of the brain. This mag- behavior of each twin.
nifies the differences in behavior, because
no matter how close any twins are, they
uniquely experience the world — their Concerns about
genotype is differently affected by non- non-molecular research
shared environmental factors. Each twin’s It would be nice to be able to explain to
brain is wired somewhat differently, Anja which specific genetic and environ-
impulses move through their nervous mental variables cause her to either
systems somewhat differently, and resemble or be distinct from her twin
sister. And it would be nice to explain
how genes and environments work
together to have those effects. But any
sort of detailed explanation must wait
until the research is much further along.
We cannot expect answers, one textbook
on behavioral genetics says, “when such
research is at the stage of placing one’s
toes into the pond to test the temperature
of the water.”5
In addition to the large questions of Is a tattoo a beautiful adornment
which and how, the field also struggles or a disfiguring scar? Identical
twins may differ in their opinions
with basic questions over methodology.
on the matter, because each has a
Here are some of the questions that have unique personality shaped by a
confronted researchers: unique experience of the world.

■ How do researchers know that they ■ Is it valid to generalize from twin
have correctly categorized identical and studies? Some people say that the twin
fraternal twins? In the past, researchers experience is not typical. Twins have a
categorized twins based on visual checks greater incidence of premature birth and
(do they look alike?), physical tests (do therefore of developmental problems.
they have the same blood type?), and self- Also, people tend to treat twins as special
reports (do they think they are identical and many twins perceive themselves as
or fraternal?). Today, researchers can use having a special closeness to each other.
DNA testing to confirm whether twins These kinds of subtle differences between
developed from one or two eggs. Many of twins and non-twins suggest that conclu-
the field’s original studies do not stand on sions from studies on the former may not
The twin relationship is suffi- this level of certainty. Yet they are prob- apply to the latter. A point in defense of
ciently unusual that some critics ably fairly accurate: by conducting DNA twin studies is that the data they produce,
question whether conclusions
from behavior studies of twins
checks on twins categorized as identical on many traits, converge with the data
can be applied to the general or fraternal by non-DNA methods, produced through other kinds of studies.
population. Twin researchers researchers have learned that the latter
respond that their work often ■
are correct about 95 percent of the time. Is it valid to generalize from adoption
yields results similar to those
obtained through other kinds studies? The people involved in adop-
of studies. ■ Is the equal environments assumption tions — the children, the biological par-
valid? As we explained earlier, twin studies ents, and the adoptive families — may
assume that identical and fraternal twin not be typical of the broader population
pairs all experience the same degree of because they have experienced an
shared environment. But this may not be unusual family drama. This could limit
wholly true. The close resemblance of the relevance of data from adoption
identical twins may cause them to think of studies — but again, the convergence of
themselves as alike and other people to act findings from adoption studies and other
towards them as though they were alike. forms of research argues against this being
In addition, all identical twin pairs are an important concern.
same-sex (there are very rare exceptions),
but a third of all fraternal twin pairs are ■ Are shared environmental effects ade-
opposite-sex. These factors could make the quately controlled for in adoption
environments of identical twins more sim- studies? An assumption underlying many
ilar compared to the environments of fra- adoption studies is that adoptees are ran-
ternal twins. Many scientists assert that the domly assigned into dissimilar environ-
equal environments assumption is valid, ments and not selectively placed. Based
based on studies conducted specifically to on this assumption, any correlations
test it, but others remain unconvinced. found between adopted-away identical
twins would be due entirely to genetics. non-shared differences are nonsystematic
But the fact is that many children are and largely accidental or random, they are
adopted by relatives or into families that and will continue to be very difficult to
are similar in many respects to their bio- study.” The scientists called this a
logical families. For example, adoption “gloomy prospect.” 6
agencies have been known to place a
child born to Irish Catholics into an Irish ■ What about non-additive genetic
Catholic family in the same city. Some effects? How do studies on quantitative
adopted-away twins do not part company traits take these into account? Genes do
until they are a few months or years old; not work simply in an additive way, with
they may experience important stages of each gene contributing to an effect in a An underlying assumption of
adoption studies is that children
their development in a shared environ- separate and measurable way. Genes also are randomly placed with fami-
ment. All twins, even those adopted away have non-additive effects that, as we lies. In practice, children may
at birth, are together in the womb that at explained in Chapter 3, fall into two main be placed in families that are
similar in important ways to their
least in part operates as a shared environ- categories: genotype-environment corre-
biological family, making it more
ment. These are three examples of how lation and genotype-environment interac- difficult to determine the degree
adopted-away twins may experience envi- tion. In the past, quantitative studies did to which genetic or environmental
ronments that are more similar than not take these into consideration; modern effects work to influence a trait.
Twins researchers say they now
assumed. research designs have been better at
recognize non-random placement
incorporating measurements of the and take it into account when
■ Are non-shared environmental effects former than the latter. making their estimations.
adequately controlled for in twin studies?
Although twins develop together in one
womb, they experience it differently as
they compete for resources. All fraternal
twins develop in separate chorionic sacs,
and so do some identical twins. These are
two examples of how even the prenatal
environment can operate as an unac-
counted-for non-shared environmental
influence.
Obviously it is very difficult to observe
and identify all the non-shared environ-
mental factors at work shaping a trait, and
yet they may have a much stronger effect
than factors of shared environment. As a
pair of scientists wrote, “Because these

Concerns about mations, and these studies are harder to
molecular research do. Another important reason is that, as
Gene discoveries for all sorts of traits, we stated before, most genes are of very
from grooming to obsessive hand- small effect, and so are simply difficult to
washing, have been heralded by molec- identify through molecular means.
ular researchers. Yet most of these claims The lack of success in confirming QTL
have not stood up over time. From liter- claims is one concern that has been raised
ally hundreds of molecular studies, only a about molecular research into behavior,
handful of genes have been solidly identi- but there are other concerns, too. Here
fied with a quantitative trait. And none of are some of the questions that have been
these confirmed genes has more than a raised:
very small effect of the relevant trait’s ■ How much insight about human
total variation. behavior can you get from behavior

Scientists think that the reason there observed in animals? Knockout studies
are so few confirmed QTLs is that molec- provide tempting opportunities to specu-
ular studies are very difficult to replicate. late about the role of particular genes in
This is not necessarily because the orig- human behavior, but it is a temptation
inal studies are faulty — though some that must be avoided. Suppose, for
claims for allelic associations have been example, that a knockout study creates
based on low statistical correlations. mice that run a maze faster. Does this
Replication problems stem mainly from mean similarly affected humans would
the fact that for statistical reasons a larger also run a maze faster? Maze running is
pool of subjects is needed to make confir- not a typical human activity, so what is
What genes affect the ability

of humans to run a maze?
Researchers cannot look for
the answer to that question by
conducting knockout studies on
human subjects, because that
would be unethical. Yet they
cannot speculate about human
maze-running behavior based on
results from studies of knock-out
mice, either. This is because the
genes shared by humans and
other animals express themselves
differently and in very different
contexts.
the analogous behavior?
The reason it is risky to speculate about
such questions is because there are signif-
icant differences in how and when genes
express themselves in different species.
Species also differ in terms of gene-gene
and gene-environment interactions.
Analogous genetic mutations in animals
and humans could have very different
effects on protein process, and thus indi-
rectly on behavior.
■ Do the molecular studies find false

positives? When researchers use genome
scans to look for any correlations between
a trait and tens of thousands of genes, the HLA-A1 would turn out to be posi-
possibility always exists of random hits. tively associated with ability to use Gene studies conducted on non-
There also is the possibility of finding a chopsticks – not because immuno- random populations may lead to
false conclusions. This is called
correlation that exists in one population logical determinants play any role in
the “chopsticks problem,” after
but not in others. The reason for this is manual dexterity, but simply because this well-known example: If you
that certain alleles appear more frequently the allele HLA-A1 is more common conduct a gene study of residents
in some populations than in others; such among Asians than Caucasians. 7 in San Francisco, you might find
a gene that correlates with using
numerical counts are called gene frequen- chopsticks. However, that gene
cies. If researchers designing an associa- might not have anything remotely
tion study do not carefully control for Overcoming the to do with utensil habits. It might
be related to the fact that most
population, it may produce false data. research concerns of those studied are of Asian
Two molecular geneticists in a 1994 Behavioral geneticists have worked heritage.
article nicely explain this risk; they call it tremendously hard to improve their
the “chopsticks problem”: research methods and so improve the
Suppose that a would-be geneti- quality of the data generated. On the
cist set out to study the ‘trait’ of quantitative front, researchers have tried
ability to eat with chopsticks in the many different techniques to capture the
San Francisco population by per- environmental influences that act in con-
forming an association study with cert with genes to influence behaviors.
the HLA complex [a set of immune Some researchers have tried counting the
response genes that frequently vary number of books in each subject’s house-
between ethnic groups]. The allele hold, assessing parents’ vocabulary,

yield for “gene hunters” while reducing
the number of false positives. Meanwhile,
scientists as a whole have become more
cautious about issuing speculative claims
about genes based on unreplicated work.
Another exciting development has
come about with the introduction into
the behavioral genetics lab of sophisti-
cated brain imaging tools. These tools
allow researchers to observe the brain
activity that occurs in organisms when
specific genes are expressed in controlled
noting the availability of such household environments.
Scientists are grappling with the objects as power tools and dictionaries, Yet the increasing sophistication of
problem of how to identify and or measuring other variables deemed molecular research serves to underscore
measure the environmental
relevant. the truly monumental tasks of behavioral
variables that influence behavior.
Does the presence or absence of Another approach has been to use genetics. As one scientist has summed up
certain objects in the home have questionnaires and/or interviews to the state of affairs: “Researchers have
an effect? Or are environmental determine whether identical twins are been creative in developing new theories,
effects not so easily quantified?
treated more similarly compared to fra- measuring tools, statistical programs, etc.
ternal twins. Researchers also have But the constant retooling of approaches
studied fraternal twins who look a lot points to the extraordinary complexity of
alike to see if they are more concordant trying to dissect out the environmental,
than fraternal twins who do not resemble genetic, stochastic and personal parame-
each other. Piece by piece these efforts are ters in the development of behaviors in
resulting in better and more useful data, human beings.”8
but they also serve to underline the diffi-
culty of accounting for all the truly perti-
nent environmental factors.
Notes
On the molecular front, researchers are
1 See Bailey, J. M. and Pillard, R. C. (1991).
increasing sample sizes and improving 2 Falconer, D. S. and T. F. C. Mackay (1996, p. 173).
statistical methods. The astounding 3 Bird, T. D. et al. (2001, p. 1153).
advances in microarray technology have 4 See Toma, D. P. et al. (2002).

5 See Carey, G. (2002, pg. 6).
allowed researchers to target ever-smaller
6 Plomin, R. and D. David (1987, pg. 8).
regions of DNA while scanning ever-
7 See Lander, E. S. and N. J. Schork (1994, p. 2041).
larger segments of the genome simultane- Also cited in Schaffner, K. (forthcoming).
ously; over time this should improve the 8 Beckwith, J. (forthcoming).
Bailey, J. M., and R. C. Pillard. 1991. “A genetic study of male sexual Lander, E.S., and N. J. Schork. 1994. “Genetic dissection of complex
orientation.” Archives of General Psychiatry 48: 1089-96. traits: guidelines for interpreting and reporting linkage results.”
Nature Genetics 11: 241-7.
Beckwith, J. Forthcoming. “Whither human behavioral genetics?”
in Parens, E., A. Chapman, and N. Press (eds.), Wrestling with Mundo, E., M. A. Richter, G. Zai, F. Sam, J. McBride, F. Macciardi, and
Behavioral Genetics: Implications for Understanding Selves and J. L. Kennedy. 2002. “5HT1D gene implicated in the pathogenesis
Society. of Obsessive-Compulsive Disorder: Further evidence from a family-
based association study.” Molecular Psychiatry 7: 805-809.
Bird, T. D., G. P. Jarvik, N. W. Wood. 2001. “Genetic association
studies: Genes in search of diseases.” Neurology 57: 1153-1154. Neiderhiser, J. 2001. “Understanding the roles of genome and
envirome: Methods in genetic epidemiology.” British Journal of
Biological Sciences Curriculum Study (BSCS). 2000. Genes, environ- Psychiatry 178 (suppl. 40): s12-s17.
ment, and human behavior. Colorado Springs: BSCS.
Nuffield Council on Bioethics. 2002. Genetics and human behaviour.
Carey, G. 2003. Human genetics for the social sciences. Thousand London: Nuffield Council on Bioethics.
Oaks, CA: Sage Publications.
Plomin, R. 2003. “Genetics, genes, genomics, and g.” Molecular
Cooper, N., ed. 1992. “The Human Genome Project.” Los Alamos Psychiatry 8: 1-5.
Science: 20.
Egan, M., M. Kojima, J. Callicott, T. E. Goldberg, B.S. Kolachana, A. Behavioral genetics, 3rd ed. New York: Freeman Press.
Bertolino, E. Zaitsev, B. Gold, D. Goldman, M. Dean, B. Lu and D.
R. Weinberger. 2002. “5HT1Db receptor gene implicated in the Plomin, R., and D. Daniels. 1987. “Why are children in the same
pathogenesis of obsessive-compulsive disorder: Further evidence family so different from one another?” Behavioral and Brain
from a family-based association study.” Molecular Psychiatry 7: Sciences 10: 1-60.
805-809.
Schaffner, K. Forthcoming. “Behaving: its nature and nurture.”
Ehrlich, P., and M. Feldman. 2003. “Genes and culture: what creates in Parens, E., A. Chapman, and N. Press (eds.), Wrestling with
our behavioral phenome?” Cultural Anthropology 44: 87-107. Behavioral Genetics: Implications for Understanding Selves
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Ehrman, L. 2004. Behavior genetics. New York: Oxford University
Press. Sherman, S., J. C. DeFries, I. I. Gottesman, J. C. Loehlin, J. M. Meyer,
M. Z. Pelias, J. Rice, and I. Waldman. 1997. “Recent developments
Falconer, D. S. and T. F. C. MacKay. 1996. Introduction to in human behavioral genetics: Past accomplishments and future
Quantitative Genetics, 4th ed. Reading, MA: Addison-Wesley directions.” American Journal of Human Genetics 60: 1265-1275.
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Toma, D., K. White, J. Hirsch, R. Greenspan. 2002. “Identification of
Greer, J.M., and M. R. Capecchi. 2002. “Hoxb8 is required for normal genes involved in drosophila melanogaster geotaxis, a complex
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Hamer, D. 2002. “Rethinking behavior genetics.” Science 298: 71-72.

chapter five
HOW DO MENTAL DISORDERS EMERGE FROM
THE MIX OF GENES AND ENVIRONMENTS? 5
■ ■ ■ Lamar, a man with bad news

Lamar is sitting in a coffee shop, stunned. His fiancée Marta has just broken
up with him. She gave him some odd reasons. “It’s important for me to have
children and I don’t think you should have them,” she said. She also said,
“I don’t think I’ll be able to take care of you.” Before Lamar could respond,
Marta fled from the restaurant.
At first Lamar couldn’t make sense of her remarks. Then it occurred to him
that this unhappy scene might be connected to the drama already taking
place in his family.
About a month ago, Lamar and Marta had plans to meet his mother Adele
for dinner at a new restaurant outside of town. Adele never showed up. Lamar
spent several hours calling and driving around, trying to locate her. Finally,
near midnight, his mother called him from a pay phone. She had no idea
where she was or how she had gotten there.
This was not the first time Adele had gotten lost, but before she had always blamed it on being distracted
and terrible with directions. This time Lamar did not buy the excuses. He insisted she go to her doctor.
After a thorough exam and several diagnostic tests, Adele was given a dreadful diagnosis. She has
Alzheimer’s disease. With this illness, plaques and tangles (two types of protein residue) build up in the brain,
destroying cells. Over the course of years, people with Alzheimer’s lose memory, reasoning and language abil-
ities, and their independence. Eventually the brain is unable to carry out basic tasks, causing death.
Alzheimer’s usually strikes people over age sixty-five, but some forms, known as early-onset Alzheimer’s, strike
people even younger. Adele is forty-eight.
Last week when Lamar learned about his mother’s diagnosis, he immediately shared the sad news with his
fiancée. So perhaps Marta has panicked about marrying a man she assumes will be afflicted by Alzheimer’s
at an early age.
Lamar wonders if Marta is right to worry. Perhaps he is at extra risk for early Alzheimer’s. Perhaps he should
not have a family and perhaps he could become a terrible burden to any spouse. Is Marta right to reject him?
Genotype/phenotype A gene on Chromosome 4 is implicated
complexity in Huntington’s. (The chromosomes are
Many genes interact with many physical numbered in order of their relative
and social environments to shape normal length; 4 is a relatively big chromosome.)
traits, but one gene misfiring is sometimes However, this disease does not result
sufficient to produce disorder. This is the from a single mutation to this gene.
case with Alzheimer’s disease – which Rather, many different alleles for the gene
we will get back to in a moment — but lead to the same problematic result.
also with other medical conditions. These alleles differ from each other in one
An example is the rare dementing illness important way: they have a different
called Huntington’s disease, which number of tandem repeats — multiple
destroys the fatty lining of nerve cells copies of the same base sequence (some-
leading to loss of coordinated movement, times called “stutters”).
emotional instability, psychosis, and Cystic fibrosis is another single-locus
mental decline. Huntington’s is a domi- disease that results from a great many
nant disorder, meaning that only one dis- (some 650) allelic variations of a single
ease-related allele at a single locus need gene. Unlike Huntington’s, cystic fibrosis
be present for the disease to manifest is a recessive disorder; it takes two disease-
itself. related alleles at that locus for the disease
One gene misfiring is sufficient to Chromosome 12 Chromosome 4 Chromosome 7

produce some medical disorders.
Huntington’s
Such genes are relatively easy to
find, compared to the genes that
contribute to complex disorders.
PKU
phenylalanine
hydroxylase Cystic fibrosis
to emerge. Cystic fibrosis affects the The same unhappy results can occur
mucus lining of the lungs, leading to when an allele is affected by modifier
breathing problems and other difficulties. genes, that is, by alleles at other loci that
Some single-locus disorders follow a interact with the allele in question.
slightly different script: the allele or allelic Researchers theorize that the geno-
pair contributing to disorder may occur type/phenotype relationship may be
in any of several different genes. As noted threshold-dependent. Take, for example,
in Chapter 2, this is called genetic het- a disorder that results when too little of a
erogeneity, and it is a characteristic of particular protein is produced. If protein
certain rare forms of breast and colon quantities fall below a lower threshold,
cancer as well as the early-onset form of disorder will follow. When protein quan-
Alzheimer’s. tities rise above an upper threshold, no
The important point is that single-gene disorder will follow.
disorders may result from one of many But when protein quantities lie
different alleles at one or more loci. between the two thresholds, disorder
Furthermore, any particular allele associ- may or may not follow. There may be no
ated with a disorder may sometimes, but symptoms, unnoticeable symptoms, mild
not always, lead to that disorder and may symptoms, or serious symptoms. In other
sometimes, but not always, lead to either words, there is no predictable phenotype
a mild or severe form of the disorder. associated with that genotype. In such
The less-than-straightforward associa- cases, whether or how the disorder man-
tion between an allele and a disorder has ifests itself depends on environmental
to do with proteins. Recall that genes factors.
code for amino acids that combine into PKU is a disease that results when the
proteins that make up the structure body does not have enough of a partic-
of cells and direct their activities. ular enzyme; this enzyme is a protein
A so-called “disease gene” has some that acts upon the liver. As described in
alleles whose code results in a necessary Chapter 3, PKU can cause mental retar-
protein and other alleles whose code dation. It also produces other effects,
does not have the necessary result. The such as the lightening of hair and skin
gene “misfires” when the latter type of color.
allele is present. This could mean that as The gene associated with PKU is called
a result of that allele’s instructions, none PAH (this stands for the enzyme
of, not enough of, or too much of a involved, phenylalanine hydroxylase).
resulting protein is produced. Or it could More than 400 problematic alleles have
mean that the protein is not made prop- been identified; according to one scien-
erly and quickly becomes degraded. tific report, the mutations include “dele-
CHAPTER 5: HOW DO MENTAL DISORDERS EMERGE FROM THE MIX OF GENES AND ENVIRONMENTS? 61
tions, insertions, missense mutations, More genotype/phenotype
splicing defects, and nonsense muta- complexity
tions.” 1 Researchers had hoped that they PKU is a recessive disorder, like cystic
could match up genotype with phenotype fibrosis and unlike Huntington’s, a domi-
— that is, that based on the problem nant disorder. The disease occurs only in
allele that is present, they could predict persons who inherit two problematic
the symptoms and severity of the disease. alleles of the same gene, one from each
If they could do this, then doctors could parent. Recessive and dominant disorders
adjust treatment plans to each individual. of this type illustrate Mendelian inheri-
Babies having alleles known to produce tance patterns. “Mendelian” refers to
severe effects could be put on the highly Gregor Mendel, a 19th century monk
restricted diet that prevents symptoms who raised pea plants and carefully
from appearing. Babies with alleles associ- recorded various traits that appeared in
Based on his careful study of ated with milder effects could be put on successive generations (color, shape, tex-
pea plants in the mid-1800s, less restrictive diets. ture, size, etc.). Based on his experi-
Gregor Mendel proposed the idea It has not turned out to be so simple. ments, Mendel proposed the theory that
that “discrete units of heredity” —
what we now call the genes —
Many alleles are not consistently associ- discrete units of heredity (what we now
are transmitted from one genera- ated with any one PKU phenotype, that call genes) are passed from generation to
tion to the next in recessive and is, with any one set of symptoms. In the generation in dominant and recessive pat-
dominant patterns. Researchers
glum words of one research report, terns that can be calculated using simple
now recognize that the inheri-
tance patterns for many traits “Prognosis may not be predicted with mathematical formulas. All of modern
are more complicated. precision based on mutation analysis.” 2 genetics builds upon his original ideas.
Geneticists today realize that inheri-
tance is more complicated than a simple
Mendelian passing down of immutable
genetic units. For example, with
Huntington’s disease, the allele that is
passed down in dominant fashion
through the generations alters slightly
along the way. A sequence of DNA within
the allele repeats itself (stutters) each time
it gets passed down. When the string of
repeats exceeds a certain length, the
allele begins to malfunction — fails to
properly instruct for the amino acids that
will build a needed protein — and disease
results. The age at onset of disease and
Photo by kind permission of The Fragile X Society - a UK registered charity providing support
they do not have a second X with a Fragile X syndrome can result

and information to families whose children and adult relatives have fragile X syndrome.
normal allele to compensate for the defi- in mild learning disabilities or

more severe mental retardation.
ciency, the way that girls (XX) do. Resulting from a mutation in a
The bottom line is that even for a single gene on the X chromosome,
single-locus disorder, inheriting a disease- it occurs in 1 in 3,600 males and
less often in females.
related allele does not by itself foretell the
presence of disease and the severity of
symptoms. Once again, genotype may not
always predict phenotype.
the speed of decline correlate positively Polygenic disorders:

with the number of stutters. Huntington’s complexity multiplied
disease appears when there are more than Some mental disorders have no conspic-
35 repeats but not when there are fewer uous genetic component; the loss of
than 35 repeats. Importantly, there are memory that we call amnesia is typically
rare, unexplained exceptions. caused by a hit to the head, not a genetic
Fragile X syndrome, the most commonly problem. And as we emphasized earlier,
inherited form of mental retardation, is most genetic disorders do not result from
another disorder that occurs when a string alleles at a single locus. PKU, Hunting-
of repeats in a gene lengthens. As with ton’s, and Fragile X are exceptions to the
Huntington’s, Fragile X appears when rule.
there is a high number of base repeats The vast majority of mental disorders
(above 200) in the relevant gene. There are believed to be polygenic: health prob-
appears to be only a modest relationship lems occur when disease-related alleles
between the number of repeats above 200 are inherited for many different genes.
and the severity of the disease. Most mental disorders also are multifacto-
There’s a second twist to the inheri- rial, which means that multiple environ-
tance pattern of Fragile X. The disorder is mental and genetic factors are operating
what is known as an X-linked disorder or in an intricate, epigenetic fashion to upset
trait. A gene with the disease-causing the stable development and functioning
alleles appears on the X chromosome of cells. (The adjective “complex” is often
that, along with its counterpart the Y used in the same sense as “multifacto-
chromosome, defines gender. Boys (XY) rial.”)
are more frequently and severely affected Earlier in this chapter, we pointed out
by Fragile X because if they have a prob- that with most single-gene disorders, a
lematic allele on their X chromosome, disease-related allele sometimes, but not
always, leads to the disorder and some- that aliens are beaming them messages.
times, but not always, leads to either a They can become apathetic and emotion-
mild or severe form of the disorder. ally stunted, which causes them to isolate
This qualifying statement applies to alleles themselves from other people and to
involved in polygenic disorders, too. abandon cleanliness or other social
Each of the many potentially problematic norms. People affected by an episode of
alleles sometimes, but not always, schizophrenia often make no sense to
contributes to triggering a disorder and others and can be impossible to reason
sometimes, but not always, contributes to with. They often become social outcasts.
a mild or severe form of the disorder. Many of the homeless suffer from this
A polygenic disorder results only when disorder.
all of the pertinent genetic and environ- With some people the symptoms of
mental factors are in place, and the extent schizophrenia appear gradually. With
of disorder depends on when those factors others the symptoms show up in a
occur and how they affect each other. The sudden, dramatic change of behavior.
difficulty of predicting phenotype from Some people experience schizophrenic
genotype is compounded exponentially. symptoms only occasionally, while others
are chronically affected. Like many
chronic diseases, schizophrenia is not cur-
Schizophrenia, able, though medicine and behavior
a polygenic disorder therapy can often control some symp-
Schizophrenia is an example of a poly- toms. In some cases — not predictably —
genic mental disorder with an ambiguous improvement and virtually full recovery
genotype-phenotype relationship. It is a occur. Symptoms often decline with age.
common form of mental illness compared For a long time schizophrenia was
to PKU and Huntington’s, affecting about believed to be the result of faulty par-
1 percent of the general population. enting, the victim’s weak personality, or
About half of all cases manifest them- God’s punishment. But beginning in the
selves in adolescence or early adulthood. 1960s, researchers conducting family,
Schizophrenia stems from incoordina- twin, and adoption studies recognized
tion of brain function. It is as though that relatives of affected persons are much
circuits inside the brain get crossed. The more likely to themselves become schizo-
brain loses its ability to process thoughts, phrenic, compared to people in the gen-
words, and emotions as it normally eral population. Indeed, there is a ten-fold
would. Affected persons become con- increase in risk for persons who have sib-
fused, paranoid, and/or delusional. They lings with the disease. This implies that
may believe spies are following them or schizophrenia has a familial, perhaps
hereditary, component. That research did Something besides genes is at play, but it
not lead to a cure for schizophrenia, but it is not clear what that is. So another ques-
did provide great relief to parents and tion is, what environmental factors
patients who had previously shouldered interact with susceptibility genes to
the blame for the disease. launch the onset of schizophrenia?
Molecular scientists have put a great Researchers are exploring various
deal of effort into finding the susceptibility causal theories. Viral infections that alter
genes for schizophrenia. A susceptibility brain chemistry are suspected to play a
gene is one for which certain alleles make role in some, but perhaps not all,
you susceptible to — at higher risk for — instances of this disease. Head injuries are
a disorder, while other alleles make you another possible factor, in some cases.
less liable to have the disorder. A disorder So are prenatal infections such as rubella,
will appear in those instances where a developmental problems triggered by
particular allele appears in conjunction complications at birth, and drug abuse.
with problematic alleles at other loci plus In short, what we call schizophrenia may
A significant percentage of the
environmental triggers. (“Susceptibility” have many different causes and is prob- homeless in the U.S. today suffer
as an adjective also is used to describe ably several distinct diseases. The search from schizophrenia or some other
genes that affect traits not associated with for genetic components to schizophrenia mental disorder. It is not yet
known which environmental
disorder, such as a “susceptibility gene” is merely one track in the manifold inves-
factors interact with genetics
for musicality.) tigations into this tragic and disabling to cause these mental disorders
Studies on schizophrenia have “impli- form of mental disorder. to emerge.
cated” various genes and chromosomal
regions, but they have produced only ten-
tative results that remain unconfirmed
despite replication studies that have been
attempted.3 The failure to pin down schiz-
ophrenia susceptibility genes is frustrating,
but it does not mean that such genes do
not exist. Rather, it underscores the com-
plexity of the disease. It serves as evidence
that the disease is genetically heteroge-
neous: multiple genetic factors provide dif-
ferent pathways to the same disease.
It is important to note here that the
vast majority of people who have first-
degree relatives with schizophrenia do
not end up with the disease themselves.
Bipolar disorder, to 20 percent of patients suffering from
Persons with bipolar disorder also polygenic bipolar disorder kill themselves, even
suffer from extreme swings in Like schizophrenia, bipolar disorder is a though many are on medication.
mood. In the manic state, they
polygenic mental disorder with no clear In the manic state of bipolar disorder,
may be highly creative but also
erratic, over-energetic, and irre- genotype-phenotype relationship. Bipolar, the same person is highly elated and may
sponsible. In the depressed state, also known as manic-depressive illness, also be extremely talkative, distractable,
they may be sad, disinterested, causes extreme swings in mood. hypersexual, irresponsibly extravagant
and even suicidal.
In a depressed state, an affected person financially, and unable or unwilling to
is overwhelmingly sad, disinterested in sleep. The person may feel extremely self-
life, indecisive in the extreme, and unable important and be willing to take extraor-
to sleep or, alternatively, unable to stay dinary and dangerous risks.
alert. The person may feel worthless and For the person with bipolar disorder,
be filled with despair, leading to suicidal extreme moods alternate with periods of
impulses. It is estimated that 15 percent more stable emotions. The mood swings
may occur months or weeks apart, Later investigations (called replications) Many studies have sought to
or they may cycle rapidly. The frequency have produced lower lod scores for the identify the susceptibility genes
for bipolar (the genes that play
of these mood swings tends to increase same genes, suggesting that perhaps they
some role in the disease), but so
over time. are not so relevant after all. A recent far none has been confirmed.
About one in every 100 persons has meta-analysis of genome scan studies Finding them may be difficult if
severe bipolar, and another one in 100 could find no statistical significance for there are many genes, each of
small effect.
has a milder form of the disease. It occurs any nominated site.5 One reasonable con-
equally often in men and women and has clusion is that no one gene has such a sig-
its onset primarily in adulthood, though nificant effect that it can be revealed
researchers believe it may be underdiag- through linkage analysis. Thus, the search
nosed in adolescents. Bipolar disorder is continues both for susceptibility genes for
treated with medication and counseling, mental disorders and also for better
but these treatments are not effective methods of finding them.
in all cases nor to the same degree.
Each physician has to experiment with
treatments until one is found that works. Research challenges
From this description of bipolar dis- There are no recognized laboratory tests
order, it should be apparent that its phe- for schizophrenia or bipolar disorder to
notype varies in each affected person. help a physician confirm or disconfirm a
This is because the pathway from cause diagnosis. Researchers know less about
to disease varies in each person. the etiology of these disorders (the path-
Systematic studies of families, twins, and ways from cause to effect) than they do
adoptees show that the risk of having about the etiology of non-psychological
bipolar disorder is far higher for persons diseases such as the various forms of
who have close relatives with the cancer and diabetes. The same relative
disorder, compared to members of the scarcity of knowledge also holds for other
general population. mental disorders such as anxiety disorder,
As has been the case for schizophrenia, post-traumatic stress disorder, eating dis-
finding the specific genes involved in orders, and phobias. The etiology of
bipolar disorder has proven to be difficult. Alzheimer’s is relatively better under-
A pair of scientists writing about this stood, but not well enough yet to provide
odyssey have referred to it as a “manic for adequate treatments.
depressive history.” 4 Researchers using Genetic research will help fill in the
linkage analysis have identified more than blanks, and here’s how. As each suscepti-
a dozen different chromosomal regions or bility gene of large or small effect is iden-
genes with lod scores high enough to sug- tified, lab techniques can be used to
gest they are relevant to bipolar disorder. entice the gene to express itself and
reveal the amino acids for which it codes The environmental part of the story
and the proteins that result. Through a may be neglected through this approach,
variety of techniques, researchers can but that is mainly because researchers
then figure out what the proteins do have not yet found a good way to isolate
when they are functioning properly and and study each contributing environ-
what happens when they malfunction. mental factor the way a gene can be iso-
Following this trail for each gene, lated and studied. The complex interplay
researchers hope to put together a better that occurs between biological processes
picture of what happens inside the body and environments also gets neglected,
to cause the paranoia of schizophrenia, though it is argued that approaching
the mood swings of bipolar disorder, mental disorders through individual
and the memory loss of Alzheimer’s. genes — as piecemeal and artificial as
Researchers are also attempting to that may be — is a pragmatic and doable
discover more about the mostly unknown way to get started on this difficult puzzle.
factors that regulate variability in gene
expression. With such knowledge could
come medicines that substitute for Lamar’s dilemma
proteins the body needs, but is not able Despite the considerable effort being
to produce properly itself or produces expended in behavioral genetic research,
insufficiently due to problems in genetic results so far offer little practical help to
coding. the patient who already has a mental dis-
order. Very little can be done for Adele,
who already suffers from Alzheimer’s,
By finding the genes at work in
Alzheimer’s disease, scientists nor for Lamar, who worries that he him-
hope to obtain clues to the self may someday be afflicted with this
environmental factors that also disease.
play a role.
Alzheimer’s affects about 4 million
Americans. That number is growing
because people are living longer and the
disease appears late in life. The biggest
risk factor for expression of the disease is
aging. It is estimated that perhaps as
many as 10 percent of all people age 65
and older have the disease and up to
50 percent of all people age 85 and older.
People with relatives affected by
Alzheimer’s are at somewhat higher risk
themselves for acquiring the disease. Former U.S. President Ronald
Reagan is among the millions of
The form of Alzheimer’s that has a late
Americans who suffer from
onset is what afflicts former U.S. Alzheimer’s, the most common
President Ronald Reagan. It is a complex form of dementia.
disorder, with many genes contributing.
One gene identified as a contributing
factor sits on Chromosome 19 and is
called apoE (for apolipoprotein class E).
Although the details remain unclear,
researchers believe that the protein asso-
ciated with this gene repairs connections
between cells in the brain. This suggests
that the problems of Alzheimer’s occur
when these repairs are no longer made
properly.
ApoE appears in three different alleles
called apoE2, apoE3, and apoE4. People
who inherit one copy of apoE4 (about a
quarter of the population) have about four
times the risk of developing Alzheimer’s
compared to the general population. allele at any one of these three loci is
People who inherit two copies of apoE4, enough to trigger the disease.
one from each parent (about 2 percent of A diagnosis of Alzheimer’s, both late-
the population) are at a ten-fold increase onset and early-onset, rests on a variety of
in risk. The risk declines for people with factors, such as tests of cognitive func-
apoE3 alleles, and it declines even more tioning and mood (to gauge symptoms),
for people with apoE2 alleles. blood and urine tests (to rule out other
About 5 percent of Americans with health problems), and brain scans (to rule
Alzheimer’s have the rare early-onset vari- out strokes). As yet there is no cure for
eties that strike people before age 65. This Alzheimer’s, although there are drugs
is the form of the disease that has affected that can delay the problems for some
Lamar’s mother, Adele. Three different people.
loci have been implicated in early Lamar’s mother, with early-onset
Alzheimer’s, and they are located on Alzheimer’s, has obviously inherited one
Chromosomes 1, 14, and 21. It is a dom- of the alleles associated with the disease.
inant, single-locus disorder, which means Recall that each person has a pair of
that just one copy of a disease-related alleles for every gene and passes only one
of them down to each child. Lamar may ommends screening for the apoE4 allele.
have inherited the problem allele from his But, as Lamar probably realizes, there
mother, in which case he has inherited is little to be gained from getting tested for
the disease, or he may have inherited a any form of Alzheimer’s so long as no
benign allele from her, in which case he cure is known and treatment is palliative
will escape the early onset form of the dis- at best. In fact, there is much to be risked.
ease. (He would still share the general Suppose, for example, that Lamar’s
population’s risk for the late onset form.) employer obtains access to his medical
Lamar could get a genetic test to find records and learns he has an early-onset
out whether he has inherited an allele Alzheimer allele. The employer could
associated with early-onset Alzheimer’s. If misunderstand the information and pre-
the test shows he is free from such alleles, sume Lamar is already diseased. Lamar
perhaps his fiancée Marta will reconsider could find himself moved to a position of
marriage and life will be back to usual. less responsibility, cut off from promotion.
On the other hand, if the test shows he The employer might even be tempted to
has an early-onset Alzheimer’s allele, then fire Lamar out of fears that insurance pre-
Lamar has brought upon himself fore- miums will climb if Lamar stays. This
knowledge of a sorry fate. Because early- would all be quite unfair for Lamar since
onset Alzheimer’s is a single-gene, he may have left twenty or more years of
dominant disorder, Lamar will most likely healthful living.
succumb to the slow destruction of his Lamar’s fiancée, of course, did not even
mind. How would such information affect wait for a test before jumping to conclu-
his life in the meantime? Probably not sions and abandoning him. So perhaps
well, based on reports in the medical Lamar has been spared marriage to
literature on people who have obtained someone so flighty. There’s little else
this knowledge. positive to see about his situation. But
Lamar may or may not want to know who knows? Before the disease appears in
what his future holds, but at least he can Lamar — if it does — researchers may
choose whether or not to find out. That have found the cure. They may have dis-
choice is not available to people con- covered the environmental factors Lamar
cerned about their risks for the predomi- should avoid to delay onset of the disease.
nant forms of Alzheimer’s. Because those They may have figured out how to
forms of the disease are polygenic, the synthesize the proteins his body needs in
presence of apoE4 or any other allele order to compensate for those his body
associated with the disease would only inadequately produces. They may even
indicate level of risks, not certain diag- know how to repair or replace unwanted
nosis. No professional medical society rec- alleles through gene therapy.
Normal and abnormal traits Vincent Van Gogh suffered from
mental disorder, possibly bipolar.
There are opposing ways to look at
This self-portrait reveals his indis-
mental disorder. One view is that they are putable talent, yet also hints at
all-or-none states, like pregnancy or his internal disturbance. Some
measles. The other view is that disorders researchers believe that there
may be a relationship between
represent the extreme end of a con-
mental illness and creativity.
tinuum ranging from healthy to
unhealthy or, to put it in psychological
terms, from the normal to the patholog-
ical. These competing possibilities lead to
such questions as whether the sad or
introverted person differs in kind or
degree from the depressed person,
whether or not someone with an exu-
berant personality is just a few shades
away from being uncontrollably manic,
and whether absentmindedness is a pre-
liminary form of dementia. could have the unintended effect of elim-
If a disorder is on a continuum with inating positive traits as well. For a mental
“order,” then the location of the dividing disorder such as Alzheimer’s, it is hard to
line becomes important. Otherwise, treat- imagine what the related positive trait
ment for disorder could someday extend might be, but someday scientists may
into treatment for normal conditions. prove that it is simply the extreme oppo-
One way to distinguish mental disorder site of some beneficial protein processes
from normal mental functioning is to say rather than a unique aberration.
that a disorder is one that has a detri-
mental effect on a person’s ability to get
along in society. But sometimes that’s
Notes
hard to say. Vincent Van Gogh suffered
1 National Institutes of Health (2000), p. 10.
greatly from severe mental problems, yet 2 See Enns et al. (1999). See Dipple (2000) which quotes
he was one of the greatest artists of the Enns.
3 See for example Williams, H. J. et al. (2003), disconfirming
19th century. Many have pointed to a the association between the PRODH gene on Chromosome
putative link between creative genius and 22 and schizophrenia. See also the vague conclusion of the
abstract for a genome scan meta-analysis by Lewis, C. M.
mental disorder. Some researchers say et al. (2003), p. 34: “The results suggest that some or all of
[more than a dozen chromosomal] regions contain loci that
that a feature common to both is greater increase susceptibility to schizophrenia in diverse popula-
tions.”
emotional range. If this is the case, then
4 See Risch, N. and D. Botstein (1996).
the quest to eliminate mental disorder 5 Segurado, R. et al. (2003).
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DailyNews/early_onsetAD020731.html. hppb/mentalhealth/pubs/schizophrenia/
Alzheimer’s Association. 2002. “What is Alzheimer’s disease?” Lewis, C. M. et al. 2003. “Genome Scan Meta-Analysis of
(accessed 26 November); available at Schizophrenia and Bipolar Disorder, Part II: Schizophrenia.”
http:www.alz.org/AboutAD/WhatIsAD.htm. American Journal of Human Genetics 77: 34-48.
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(Accessed 26 November); available at http: J. L. Roos, J. L Rapoport , J. A. Gogos , and M. Karayiorgou. 2002.
www.alz.org/ResourceCenter/FactSheets/FSGeneticTesting.pdf. “Genetic variation in the 22q11 locus and susceptibility to schizo-
phrenia.” Proceedings of the National Academy of Sciences
---. 2002. “Information sheets: genetics and Alzheimer’s disease.” 99: 16859-64.
(Accessed 26 November); available at
http://www.alzheimers.org.uk/about/info_genetics.html. Maugh II, T. H. 1997. “Scientists find how gene leads to
Huntington’s.” Los Angeles Times 8 August (Accessed 30
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in phenylketonuria: mutation patterns and corresponding bio- Nature Genetics 12: 351-353.
chemical and clinical phenotypes in a heterogenous California
Segurado, R. 2003. “Genome Scan Meta-Analysis of Schizophrenia
population.” Pediatric Research 46: 594-602.
and Bipolar Disorder, Part III: Bipolar Disorder.” American Journal
Foundation for Genetic Education & Counseling. 2000. of Human Genetics 73: 49-62.
“Genetics and bipolar disorder (manic depressive illness).”
“Stanford researchers establish link between creative genius and
(Accessed 7 December); available at http://www.fgec.org/
mental illness.” 2002 (accessed 2 December); available at
genetic&bipolar_disorder.htm.
http://www.talentdevelop.com/StanfordResearchers.html.
Gottesman, I. I. 2002. “The ups and downs of genes and bipolar
Williams H. J., N. Williams, G. Spurlock, N. Norton, S. Zammit, G.
disorder.” (unpublished; personal communication to The Hastings
Kirov, M. J. Owen, M. C. O'Donovan. 2003. “Detailed analysis of
Center Behavior Genetics Working Group.)
PRODH and PsPRODH reveals no association with schizophrenia.”
Grody, W. 2001. “Determining risk for cystic fibrosis: Carrier patients American Journal of Medical Genetics 120B(1): 42-6.
may be the key.” (Accessed 15 August); available at
http://www.geneletter.com/08-15-01/features/
cfcarrierrisk.html.
chapter six
HOW IS THE ABILITY TO CONTROL IMPULSES
AFFECTED BY GENES AND ENVIRONMENTS? 6
■ ■ ■ Trevor, in trouble with the law

Growing up on a farm in Iowa, Trevor was always into some crazy
adventure — leaping out of barn windows, diving off high rock
into the quarry pond, or racing his four-wheeler across unplowed
fields. His parents doted on him and let him do as he pleased.
He was a restless youth who never stuck with any activity for
long, until he discovered cars. There were several junkers on the
farm and he learned from his father how to fix their engines and
bodies. When he was sixteen, Trevor put together a stockcar from
old parts and smashed his way to a blue ribbon at the state fair’s
demolition derby.
Trevor dropped out of high school in the twelfth grade and into his early thirties travelled the country on the
stock car racing circuit. In this high-risk sport, he was notable for the risks he was willing to take. This is attested
to by his many injuries and his many wrecked cars. Trevor’s reckless attitude — plus the heavy drinking and
gambling that got him into a variety of trouble — eventually forced him out of racing.
With huge debts, Trevor got a job in a warehouse in Oklahoma. One day he impulsively stole some goods from
the warehouse and fenced them. It was so easy that he began to regularly support his income in this fashion.
One night with a lot of cash in his hands and investigators on his tail, Trevor decided to skip town. He and his
girlfriend sped off in his souped-up sports car, but they didn’t get far. The car flipped going 130 miles an hour
down a Texas highway. Today Trevor is in jail, charged with manslaughter in the death of his girlfriend.
Trevor’s family hired him a lawyer who, while doing some library research, learned about a couple of instances
where defendants have pleaded not guilty by reason of their genetics. The lawyer wonders if he might be able
to pursue this kind of defense. Could Trevor plausibly plead not guilty based on the argument that he was
genetically compelled to act rashly?
Impulsive behavior and ADHD every circumstance undesirable? This
It’s normal behavior to shout, There is a saying that a weed is merely a interesting question has been raised in the
wave your arms, and jump out plant out of place. The same could be said context of attention-deficit hyperactivity
of your seat at a sports arena.
of many character traits. The boisterous disorder (ADHD), a controversial but
A child who behaves that way
too often in school might be person might be out of place in a increasingly frequent diagnosis of
suspected of having ADHD. monastery dedicated to silence but not children with problem behavior.
in the stands at a basketball game. The primary traits associated with
Boisterousness, its counterpoint meek- ADHD are impulsive activities and short
ness, and many other aspects of person- attention spans. Both traits are universal
ality are undesirable traits only when they to all children; however, they become
create problems for the person displaying hallmarks of ADHD when a child
them or for others who interact with that exhibits them to a much larger degree
person. than other children of the same age in
Are some character traits always and in similar settings.
ADHD symptoms usually appear when population that can be attributed to
children reach the ages of three to five, genetic factors. Heritability estimates do
though in many cases they are not not tell us what to expect for individuals,
noticed until later. Up to 10 percent of all but family studies tell us that a child is
schoolchildren worldwide have ADHD, much more likely to be diagnosed with
according to some estimates; this dis- ADHD if a sibling or parent has been
order has been found in every nation and diagnosed.
culture where researchers have looked ADHD is believed to be polygenic,
for it. It affects a much larger proportion involving several genes that are normally
of boys than girls. The problems associ- very active in the parts of the brain that
ated with ADHD can persist into adult- appear underdeveloped in persons suf-
hood, affecting work performance and fering from ADHD.
personal relationships. Much research attention has focused Fewer girls than boys are
Scientists speculate that ADHD is on genes involved in the regulation of diagnosed with ADHD, but the
total number of children diag-
caused by underdevelopment of several dopamine. This is a neurotransmitter, a nosed is large and climbing.
parts of the brain critical to such mental brain chemical that carries messages According to some estimates,
tasks as being aware of oneself and time; between nerve cells. Some genes code up to 10 percent of all school-
children worldwide have the
resisting distractions; over-riding imme- for dopamine to be taken up by
disorder.
diate impulses with reasoned responses; “receptor” nerve cells, other genes code
and delaying gratification. One way for dopamine to be distributed by “trans-
ADHD has been described is that affected porter” nerve cells, and still other genes
persons display too much public speech code for unused dopamine to be
and behavior; they have not learned how reabsorbed by transporter nerve cells for
to internalize and self-correct their re-use later.
thoughts and actions. Various genes related to these func-
A variety of unproven environmental tions have been tentatively associated
factors have been suspected of triggering with ADHD. One such candidate is
ADHD. These include premature birth, called SNAP-25, located on Chromosome
maternal alcohol and tobacco use, expo- 20. In a study published in 2002,
sure to high levels of lead in early child- genome scans were conducted on 93
hood, inoculations, infections, and brain Irish families that had two or more mem-
injuries. Researchers have pretty much bers with ADHD. According to that
ruled out diet and child-rearing methods study’s results, one particular allele for
as causal factors for ADHD. the SNAP-25 gene is 50 percent more
Researchers estimate that ADHD is 70 likely to appear in persons with ADHD
to 80 percent heritable. This refers to the than in persons without it. Other studies
variation in the incidence of ADHD in a have found small associations with other
CHAPTER 6: HOW IS THE ABILITY TO CONTROL IMPULSES AFFECTED BY GENES AND ENVIRONMENTS? 77
alleles for SNAP-25.1 The ultimate quest is not to find the one
Another study published in 2002 sug- gene that causes this disorder; rather, it is
gests that a gene associated with ADHD to find the many genes and the many
may lie somewhere within a specific environmental factors that operate inter-
region of Chromosome 16. This study actively to trigger the range of behaviors
also included genome scans, conducted clustered under the ADHD diagnosis.
on 203 families with more than one child
diagnosed with ADHD. The scans
revealed a series of molecular markers Is ADHD a disorder or a trait?
(DNA sequences that vary from human to There has been an epidemic of ADHD
Based on results of genome scans, human) on Chromosome 16 shared by diagnoses in recent years. In 1985, the
some researchers propose that a sibling pairs more than 50 percent of the U.S. had between 650,000 and 750,000
gene associated with ADHD
time. Since siblings share on average 50 individuals diagnosed with ADHD.
resides on Chromosome 16.
Using similar studies, other percent of their alleles, this higher rate of By the year 2000 this number exceeded
research has led to the sugges- sharing for the molecular markers may 4 million. School-age children receive the
tion that a gene associated with correlate with the occurrence of ADHD.2 bulk of ADHD diagnoses, and more than
autism may lie on the same
region of the chromosome. Interestingly, other genome scan three-quarters of those diagnosed are
This has led some researchers studies suggest that this region on prescribed drugs (stimulants and/or
to wonder whether the same gene Chromosome 16 may also include a gene anti-depressants) that serve to slow down
is involved in both disorders.
associated with autism. This is a complex brain activity.
developmental disability that emerges in Critics of the skyrocketing rate of diag-
early childhood and interferes with the noses suggest that many children labelled
normal development of social skills and ADHD may actually be suffering from
communication. Since about 150 genes allergies or may be acting out of frustra-
lie within this region of Chromosome 16, tion caused by undiagnosed visual prob-
it may not be the same gene associated lems or learning disabilities. Other critics
with both ADHD and autism. But point out that in the past people took a
researchers speculate that if it is the same more benign view of the behaviors now
gene, then perhaps one neurobiological associated with ADHD; rambunctious-
mechanism – one process involving cells ness used to be considered in the range of
of the brain — underlies both disorders. normal. Some even theorize that the
It must be remembered that the claims traits associated with ADHD were favor-
for ADHD susceptibility genes at SNAP- able adaptations in early humans because
25, the region on Chromosome 16, and it took quick reaction times to succeed as
several other locations remain uncon- hunters.
firmed. They are based on small, prelimi- It also has been argued that increases in
nary studies that need replication. cases of ADHD are occurring not because
there has been an increase in brain dys- consumerist clutter, reduced opportuni-
function among children, but rather ties for children to run free and play
because an ADHD diagnosis is highly sub- actively, fewer chores and other responsi-
jective, convenient, and acceptable. bilities given to children that would teach
The diagnosis is based in part (sometimes them to behave maturely: these are the
in whole) on observations from people conditions of modern life that create rest-
such as teachers who do not have med- less and out-of-control children, they say.
ical training; it opens the door for special Others argue that restlessness and
services from education systems; ADHD distractibility are natural to children;
medication makes children more docile what is unnatural is our restrictive social
and less challenging; and the public now environments. As one commentator has
has a very relaxed attitude about treating pointed out, “Why don’t we have a
problems with drugs. disorder called ‘quiet listening’? Maybe
It also has been pointed out that if ‘bodily shrieking’ is the healthier
children today are more restless and behavior.”3 The controversy over
distractable, it is not because of problems whether ADHD is a medical or social dis-
inside their heads but rather because of order complicates but does not impede
problems in our culture. The fast pace of the search for the underlying genetic
life, the onslaught of media messages, contributors to the behavior.
The majority of children

diagnosed with ADHD are
prescribed drugs to modify
their behavior.
Novelty-seeking: the correlation may occur in the presence
a positive impulsive trait of as-yet-unknown “moderating” genes,
Impulsivity, a prominent feature in which would account for contradictory
ADHD, is also a feature of a behavior with findings.5 Still more studies have explored
more positive social connotations. This but not confirmed a connection between
behavior is called novelty seeking, and it DRD4 alleles and alcoholism, drug abuse,
has been a favorite subject of study for depression, and ADHD.
genetic researchers. Novelty seekers are
people who thrive on new experiences
and heightened sensations. They enjoy Antisocial personality:
adventures such as skydiving, mountain a negative impulsive trait
climbing, travel to exotic locations, or Impulsivity is central to a slew of disor-
other extreme experiences. ders listed in the key clinical reference
Researchers identify novelty seekers book known as DSM-IV-TR.6 Along with
through personality inventories com- ADHD, these include intermittent explo-
pleted by subjects about themselves and sive disorder (the loss of control over
through scores on rating scales completed impulses toward aggression), kleptomania
by observers of individuals. Those who (the impulse to steal unneeded objects),
score high in the trait are described as pyromania (the impulse to set objects on
“impulsive, exploratory, and extrava- fire), trichotillomania (the impulse to pull
gant,” while those who score low are out one’s own hair), and other disorders.
described as “stolid” or “reflective and Yet another diagnosis in DSM-IV-TR is
rigid.” antisocial personality disorder. A broad
Researchers speculate that novelty range of conduct falls under the label anti-
seeking, like ADHD, is related to activity social personality disorder and includes
of the brain chemical dopamine. In 1996, lying, cheating, breaking the law, aggres-
two association studies found a tentative siveness, lack of social conscience,
correlation between novelty seeking and violating social norms, and acting with
Novelty seeking — the drive to particular alleles of a gene called DRD4.4 reckless disregard for others. It is the
experience new and stimulating Some subsequent studies supported a cor- same condition that used to be described
experiences — is a form of impul- relation between longer DRD4 alleles as “psychopathic” and “sociopathic.”
sive behavior that tends to result
in positive consequences for the
(i.e., those with more tandem repeats) Researchers theorize that antisocial
individual or society. and the novelty-seeking trait, while personality disorder may emerge when
others contradicted it. A 2002 meta- persons with predisposing genotypes
analysis of DRD4 studies could not find experience stressful environments.
any statistical association. The authors of Specific genes remain wholly unidenti-
this meta-analysis study suggested that fied, but correlations have been found for
Pyromania — the obsessive desire
to set objects on fire — is a form
of impulsive behavior that
tends to result in negative
consequences for the individual
and society.
such environmental factors as living in a factor.7 Many people grow up in deprived

poor urban area, living in high-density neighborhoods yet do not become antiso-
housing, experiencing violence in the cial. This is evidence that a given envi-
home, and living with other familial ronment does not by itself cause
dysfunctions. antisocial personality disorder. By the
One relevant study, of two-year-old same token, there is little likelihood that
twins in England and Wales, indicates any particular gene causes antisocial
that living in a deprived neighborhood is behavior by itself.
a greater risk factor for emotional and In 2001, a meta-analysis was con-
behavioral problems than any genetic ducted of 51 twin and adoption studies
having to do with antisocial behavior. Criminality: a legal
Through this project, scientists found that description, not a trait
these proportions best explain the vari- Antisocial personality disorder may propel
ance of antisocial behavior in the general an individual into crime but not everyone
population: additive genetic influence, who commits a crime is antisocial. Nor
.32; nonadditive genetic influence, .09; are all crimes committed impulsively.
shared environment, .16; and nonshared A case in point is the civil rights activist of
environment, .43.8 Think of these num- the 1960s who deliberately violated the
bers as percentages. Note that they do not law to protest Whites-only lunch coun-
explain how genetic and environmental ters. Criminality is not an official diagnosis
factors operate to affect the trait. They in DSM-IV-TR; rather, it is a popular label
merely indicate that different genetic and for breaking the law, being arrested, or
environmental factors are present and being convicted of a crime.
exerting influence to relative degrees. Criminality has been a target of study
Many studies suggest that antisocial in behavioral genetics for two major and
behavior peaking in adolescence distinct reasons. First, crime is an issue of
(so-called juvenile delinquency) is more significant public concern. Second, the
heavily influenced by the environment, official records from the criminal justice
The genetic and environmental specifically, peer pressure. In comparison, system are an abundant source of data.
factors underlying juvenile
antisocial behavior that shows up in early Yet research into criminality is prob-
delinquency may differ in
combination from those under- childhood and continues throughout life lematic because, as many sociologists
lying lifelong criminal behavior. may be more heavily influenced by genes. have pointed out, criminality is not an
objectively measurable trait such as blood
pressure or height. Rather, it is a social
construct. There probably is not any
behavior that is criminal across all con-
texts. Child sacrifice was acceptable in
ancient Carthage, but in modern societies
infanticide is a repugnant criminal act.
In Industrial Age England, a poor wretch
in the city could be put to death for
stealing linen scraps from a factory, but a
member of the gentry did not face penal-
ties for enclosing commons land. Until
2003 in the United States, it was a crime
(in some states but not in others) to
engage in consensual homosexual sex in
It is a crime to possess small
amounts of marijuana in the
United States but it is not a crime
in Canada. Such disparities make
it quite difficult for researchers
investigating the genetic basis of
“criminality” to objectively define
the trait.
the privacy of one’s home. Today it is Research into criminality

against the law to possess small amounts A highly publicized study of criminality
of marijuana in the United States, but it is was published in 1965. Chromosomal
not a crime in neighboring Canada. analysis of 197 men in a Scottish high-
Furthermore, enforcement of the law is security prison found that seven of them
selective. Traffic cops are much more had an extra Y chromosome. (The stan-
likely to pull over Black or Latino drivers dard pattern is for women to have two X
than White drivers. Blacks and Latinos chromosomes and for men to have one X
also are much more likely to be pursued and one Y). The 7/197 ratio at the
on drug charges than Whites, even Scottish hospital led the researchers to
though the latter violate drug laws in far suggest that an extra Y chromosome
greater numbers. The criminal defendant might cause aggressive behavior and
who can afford private attorneys stands a mental “subnormality.”9
better chance of avoiding conviction than Later studies showed that XYY men
the defendant who must rely on court- were taller, lower in intelligence, at
appointed lawyers. greater risk for severe acne, and more
In sum, cultural variables determine likely to be imprisoned, on average, than
which deeds and which persons are XY men. However, these studies did not
labelled criminal. “Criminality” per se is support the association between XYY and
not an intrinsic trait, and this is important aggressive behavior. It also was discov-
to keep in mind when reading about ered that XYY men are relatively
genetic research in this area. common: about 1 in every 1,000.
The XYY chromosome has been found in
many men leading normal, law-abiding
lives. One plausible theory is that XYY
men may be more likely to end up in jail
because their lower average intelligence
depresses their ability to find gainful work
and to make wise choices.
While the XYY/crime connection is
indirect at best, another chromosome
combination is strongly linked to criminal
behavior. Geneticists like to point out
with a smile that if you have a single Y
chromosome you are much more likely to
commit a criminal offense than if you do
not have one. Indeed, males make up a
much larger proportion of the prison pop-
ulation than females.
Much of more recent research into the
genetics of criminality has focused on an
enzyme in the brain called MAO
(monoamine oxidase). MAO’s job is to
break down excess neurotransmitters.
Insufficient amounts of MAO can lead to
the accumulation of neurotransmitters
and this can interfere with the proper
relay of messages between nerve cells and
between nerve cells and muscles.
Low levels of MAO are correlated with
mental retardation. They also are corre-
lated with the behavior problems of
addiction, reduced inhibition, lack of self-
control, and aggression. Several studies
have found a relationship between low
MAO levels and criminality. This has led
to a theory that people who have low
MAO levels react more impulsively to
circumstances and are therefore more
likely to commit a crime. The myth of There is a genetic difference
In the 1980s, a Dutch family came to “genes for criminality” between men and women: most
men have one X and one Y chro-
the attention of researchers. The reason When the Scottish XYY research was first mosome, and most women have
was that, over several generations, male published, news accounts unfortunately two X chromosomes. There also is
members of this family had been prone to tended toward the sensational. Many a difference in the incarceration
rates of men and women: the per-
violent and aggressive outbursts. These members of the public came to the fright-
centage of men in prison is much
men had committed various criminal acts ening conclusion that this chromosomal higher than the percentage of
such as raping a sister, stabbing a man combination creates Frankenstein-like women. Researchers are inter-
with a pitchfork, committing arson, and supermales. In similar fashion, press ested in understanding the corre-
lation between these two facts.
attempting to run over another man with coverage of research on the Dutch
a car. family’s unusual MAOA allele tended to
In the early 1990s, researchers began exaggerate findings, leading many to
focusing on a gene on the X chromosome believe that a “gene for criminality” had
that coded for a version of the MAO been discovered.
enzyme called MAOA. They discovered In the words of a pair of scientists
that the aggressive males in the Dutch writing on this topic, “Notions such as
family shared a particular allele for this ‘genes for crime’ are nonsense.” They add:
gene. However, this notorious allele … the following kind of notion is rea-
appears to be confined to the Dutch sonable: There may be partially
family. Criminals outside the family have genetically influenced predisposi-
different alleles, some leading to low tions for certain behavioral tenden-
MAOA levels and others not.10 cies, such as impulsivity, that in
MAOA came up again in a 2002 study certain experiential contexts, make
of 500 males. It was found that the men the probability of committing certain
with genotypes leading to low levels of kinds of crimes higher than for indi-
MAOA were significantly more likely to viduals who possess lesser degrees of
be antisocial as adults, but only if they such behavioral tendencies.12
had been maltreated and abused as chil- Note the phrase “certain experiential con-
dren. The men with genotypes leading to texts.” Given one set of unfolding cir-
low levels of MAOA who had not been cumstances, a particular genotype might
maltreated did not become antisocial, nor tip a person toward socially approved
did those men with genotypes leading to behaviors. Given another set of circum-
high levels of MAOA who were stances, that same genotype might tip the
maltreated. The study is significant person toward socially unacceptable
because it demonstrates the critical role of behaviors. Imagine a person who storms
gene-environment interaction.11 into a house on fire to rescue victims
trapped inside. Now imagine another
Many genes, both known and unknown, contribute to the traits that together characterize the
illness known as schizophrenia. The trampoline-like “reaction surface” illustrates the range of
possible phenotypes given genetic and environmental inputs over a lifetime.
Illustration © Irving I. Gottesman. Used with permission.
person who storms into a locked home to Trevor’s defense
burgle it. It is not hard to further imagine Based on available evidence from the field
one person who could do both deeds in of behavioral genetics, one can state
response to different stimuli. emphatically that genes do not equal fate.
Geneticists describe this collection of The lawyer’s legal scheme for Trevor
possible outcomes as a norm of reaction or dashes against this rock. A defense to the
reaction range. These terms describe the manslaughter charge based on genetics
variety of phenotypes that result from a would very probably fail to acquit Trevor.
given genotype across each possible envi- It might even backfire.
ronment. It is visually depicted as a tram- When Trevor drove his car at very high
poline-like surface that dips up or down speed, leading it to flip and fatally injure
depending on the pressure of various his passenger, he was acting impetuously
genetic and environmental inputs. and without regard to the possible conse-
It is possible today to sketch the norm quences. Given his history of reckless
of reaction for a plant, as we know from behavior, he might try the “I couldn’t help
the study with yarrow cited in Chapter 3 myself” defense. However, the criminal
and scores of similar botanical experi- law tends to presume that free will
ments. Plants can be grown in conditions prevails in most circumstances, so this is
that each vary by only one factor such as not an argument that judges or juries
a gene or a degree of sun, soil, light, or typically accept. Adding a genetic expla-
nutrient. It is not yet possible to sketch nation to this excuse is not likely to
the norm of reaction for a human improve Trevor’s prospects.
behavior. Humans cannot be constrained Some defendants have tried to argue
and bred the way plants can. Their that they were not in charge of their
genetic makeup and their environments behavior when they committed their
vary to far greater degrees. Behavior is far crimes because they were intoxicated or
more difficult to define and measure than under medication. These excuses rarely
plant heights or flower petal numbers. work, because one can choose to drink
Add in developmental interactions that and one can choose to restrict one’s own
occur in a human life and the elements behavior while under medication (for
that must be included in a norm of reac- example, by choosing not to drive while
tion become infinite. However, it may medicated). Sometimes these kind of
eventually become possible to sketch the mitigating factors lead to reduced charges
norm of reaction for the most significant or reductions in punishment, but they
environmental and genetic factors that rarely allow the defendant to completely
operate together to influence a person’s evade the legal consequences. For Trevor
behavior. to argue that he could not help driving
MAOA. A study cited earlier in this
chapter suggests that adult antisocial
behavior is more likely only if you have
this MAOA profile and were abused as a
child. Trevor cannot honestly claim to
have been abused (though his lawyer
might try this argument). In any event,
reckless driving does not fall squarely into
the category of antisocial behavior.
At present, research provides Trevor with
no other plausible genetic-environmental
explanation for his behavior.
too fast because he was under the influ- Legal scholars note that people are
A person on trial for death or ence of his genes is therefore not likely to more likely to be excused for a crime if
injury from reckless driving might help him too much. Courts operate on the conditions that caused them to
try to argue that “my genes made
the assumption that people must take commit the crime are relatively rare, not
me do it!” However, that excuse
probably will not work, because responsibility for what they do regardless violent, not likely to be repeated, and
it is not scientifically based. of underlying biological processes. treatable. Unfortunately for Trevor, these
Plus, the legal system presumes The main exception is insanity. conditions do not hold with a genetics-
personal responsibility.
In 1982, John Hinckley successfully used based defense. First, large numbers of
an insanity defense in court to escape people carry low MAOA genotypes, the
conviction for his attempted assassination DRD4 allele, and other DNA markers and
of President Ronald Reagan. The public genes that have been associated, albeit
was outraged. As a result, the insanity tenuously, with various manifestations of
plea is much harder to win today. But impulsivity. If Trevor has one or more
many defendants avoid insanity pleas for such alleles, it would not be rare. Second,
another reason. The saying “out of the Trevor’s action resulted in a violent death.
fire, into the frying pan” applies here: Third, if Trevor is not punished for his
with an insanity plea you might avoid reckless driving it is reasonable to assume
prison, but you’ll end up instead in a he will drive that way again. Fourth, it
hospital for the mentally ill where your would be a real stretch to argue that med-
sentence may be indefinite. ications available for impulsive disorders,
Another problem for Trevor is that such as the drug Ritalin for ADHD, guar-
even if he has a genetic excuse, he lacks antee a lighter foot on the gas pedal.
an environmental excuse to go with it. Legal scholars also speculate that
Say, for example, that Trevor can claim to bringing behavioral genetics into criminal
have a genotype that leads to low levels of cases will have less impact on trials than
it will on case decisions made by prosecu- Existing databases are proving to be
tors and judges. If Trevor claims highly useful tools by which law enforcers
“my genes made me do it,” he may be catch repeat offenders. DNA from a crime
sending the message that he cannot be scene is compared to DNA in the data-
reformed. This could motivate the prose- bases. If a match occurs, this is evidence
cutor in criminal court to try the case that is considered scientifically reliable
instead of dropping it or plea bargaining and that is admissible by the courts.
(dropping serious charges if Trevor pleads Under current law, the tissue samples
guilty to a lesser charge). It also could from which DNA is profiled (such as
impel the judge to give Trevor a harsher blood or saliva) are off limits to
sentence once convicted. researchers, but they are tempting
treasure troves and the law is subject to
change. A major concern over opening
Potential research sample collections to research is that they
consequences are not reflective of the population at
Trevor may not be able to make use of large. For a variety of complex factors, the
genetics for his legal defense, but scien- population of those arrested and con- As a piece of evidence leading
from crime to criminal, DNA is
tists may be able to make use of Trevor for victed is disproportionately male,
surpassing fingerprints in
behavioral genetic research. If he is con- minority, and poor. importance. Samples of blood,
victed of manslaughter, information from The possibility exists that a researcher skin cells, or hair left behind at
his DNA will be entered into a database of conducting genome scans on samples col- the crime can be DNA-typed and
compared to samples taken
convicted felons. Trevor’s genotype will lected for a criminal database might find
from suspects or checked against
be profiled at more than a dozen loci an allele that occurs more than randomly a database of samples from
where the number of tandem repeats and claim (or be misreported in the media criminal offenders.
varies. As of 2003, every U.S. state except as claiming) to have found a “gene for”
Mississippi and Rhode Island had such a criminal behavior. What the researcher
database networked into the FBI’s CODIS might actually have found is an allele that
(Combined DNA Index System), profiling is more common among, say, poor whites
more than 1.4 million offenders. The from the Bayou who couldn’t afford good
trend is for states to expand their DNA lawyers, Mexicans caught up by immigra-
collections to include not only convicted tion violations, or African Americans who
felons, but also people convicted of mis- faced racist juries. Such a claim could lead
demeanors as well as arrested suspects. to discriminatory actions against others of
It also has been proposed that the U.S. the same demographic group who share
Justice Department establish a DNA data- the allele.
base containing samples of anyone Another consequence of genetic
suspected of associating with terrorism. research that relies on arrest or conviction
as synonyms for the criminal phenotype is education and work opportunities, and so
that it will disproportionately focus on forth. Behavioral genetic research may
those who have committed “blue collar” help us understand how specific environ-
crimes (assaults, property theft, petty drug mental stimuli interact with specific
offenses, etc.) compared to subjects who genomes. This information could be used
have committed “white collar” crimes to try to prevent an individual’s environ-
(tax evasion, information theft, large-scale ment from undermining genetic mecha-
drug dealing, etc.). This is because those nisms related to self-control.
committing the latter type of crime are In theory, gene therapy could someday
caught less often. Such research would be used to treat problem behavior. But so
inevitably reinforce the stereotype that far gene therapy experiments to cure
the working class is more deviant than single-gene disorders have met with lim-
the professional class. ited success. This means that gene
therapy to treat polygenic behavior traits
remains a very remote prospect.
Treatment concerns Another medical intervention that
Genetic research into impulsivity will could theoretically be used to avoid
The scope and range of medicines have substantial social value if the con- unwanted behavior is pre-implantation
used to treat antisocial behavior cerns described above can be overcome diagnosis and selection. In couples that
is likely to increase significantly
and if the research leads to treatment that have a family history of a single-gene dis-
as researchers learn more about
the protein processes affected prevents people from killing, stealing, and order, the DNA of embryos created
by genes. hurting others. The most likely form of through in vitro fertilization can be ana-
treatment to come out of this research is lyzed for one or more disorders and/or
medicines that compensate for improper traits; those without problem alleles can
levels of proteins and other compounds be selected for implantation into the
(such as electrolytes) that result from mother. The procedure also is increasingly
problem alleles. In the near future we can being used to select for gender. Given the
expect to see a wide range of behavior- complex and indirect relationship
moderating medicines developed as a between genes and behavior, it is doubtful
direct result of gene research. that this procedure could ever be used to
Another possible form of treatment is select for behavior in any but the most
environmental intervention. We already approximate senses.
know about some of the key non-genetic Past efforts to curb undesirable
factors that promote healthy development behavior through medical intervention
and, as one part of that, good self-control: give rise to fears about genetics-based
prenatal care, adequate nutrition, efforts of the same kind. The history of
reduced exposure to toxins, improved the surgical procedure lobotomy is rele-
vant here. A lobotomy is a slice into the The surgical procedure on the
brain. This reduces transmission of nerve brain known as lobotomy was
performed on tens of thousands
messages between parts of the brain, of people in the twentieth century
which subdues behavior drastically and as a treatment for disruptive
permanently. behavior. This occurred despite a
lack of scientific evidence as to
In the late 1930s, the lobotomy came
its effectiveness and serious eth-
into vogue as a way to treat seriously ical questions about its implemen-
mentally ill patients. This happened tation. Some people worry that,
primarily through the promotional efforts in a similar fashion, gene-based
medicines might gain popularity
of a single highly enthusiastic neurologist.
before the questions of effective-
The target population for the surgery soon ness and ethics have been fully
expanded to include prison inmates, considered.
problem children, difficult family mem-
bers, and political troublemakers. Tens of
thousands of lobotomies were performed
in the U.S. and around the world. In described the dramatic rise in the number
1949, the surgeon who first developed a of ADHD diagnoses in recent decades and
lobotomy procedure for use on humans the equally dramatic rise in the number of
was awarded the Nobel Prize in medi- children being prescribed drugs for this
cine. This gave a huge boost to the proce- condition. Many ADHD patients say —
dure’s respectability and popularized it and their parents, doctors, and educators
even more. But within a few years lobot- report — that with medication they are
omies fell out of favor due to the many better able to focus and concentrate and
ethical objections, the growing awareness less likely to act out inappropriately.
of the operation’s terrible side-effects, and These behavior changes allow them to do
the lack of evidence that the procedure better in school, develop more friend-
worked. Also, by this time new drugs had ships, and otherwise function like their
emerged for treating uncontrollable non-ADHD peers.
behavior. The temporary ascendancy of On the other hand, some children
this misguided treatment shows what can exhibit side effects from these drugs such
happen when the medical profession and as nervousness, insomnia, depression,
the public jump too quickly on the band- respiratory problems, blood pressure
wagon of unsubstantiated research. abnormalities, and cardiac complications.
The story of ADHD treatment is less Research has yet to prove whether ADHD
dramatic, but equally pertinent to any medications are safe for long-term use,
discussion about medical treatment of especially with children who are still
behavior. Earlier in this chapter we growing.
There are non-medical treatments for • What standards will be used to decide
ADHD and these include placing when a behavior is normal or in need
affected children in smaller groups and of treatment?
more structured environments; teaching • How do we select among different
caregivers the strategies that work best ways to treat the behavior?
for dealing with children who have a • Who will have access to a behavior-
hard time staying focused; and providing moderating treatment that improves
children with behavior modification quality of life?
therapies. These treatments are time- • What rights does a person have to
consuming, more expensive in the short refuse behavior-moderating treatment?
run, and more difficult to evaluate, • Will our increased ability to control
which explains why they get short shrift behavior reduce ranges of behaviors
compared to pharmacological solutions. tolerated by society?
Genetic research will increase the The moral of the story is that medica- • What are the societal consequences
number of medications available tion can easily become the first response when the range of acceptable behavior
to treat children with ADHD. to any perceived social problem. Genetic is restricted?
Yet some people question whether
research could well increase the number
prescribing drugs is the most
effective or appropriate response of drugs used to treat behaviors. This gives
to children’s behavior problems. renewed urgency to such questions as: Other research concerns
Research into impulsive behavior, espe-
cially criminality, has been a flashpoint for
controversy into behavioral genetic
research in general. Many people believe
that scientific facts often get highjacked
(and pseudo-facts invented) to reinforce
existing stereotypes and injustices. By this
line of reasoning, any research into the
genetics of criminality will do more harm
than good.
Some people complain that because sci-
ence is so revered in our culture, genetic
explanations for behavior get more
respect than other explanations.
Sociologists raise an interesting point in
this context. They note that the vast
majority of variation in human behavior is
cultural, not genetic. The clothing people
The Western rancher wears a
cowboy hat, sunglasses, a warm
coat, jeans, and leather gloves
not because he is genetically
predisposed to do so, but because
of the point in time, geography,
and society in which he lives.
wear — sandals or stilettos, skirt or sari, nate behavioral genetics research today
ball cap or beret — depends upon the — “impulsivity” for example — may turn
point in time, geography, and society in out to be misdirections.
which they live, not their genes. The
same can be said for human variation in
music making, games, eating patterns,
Notes
and every other category of behavior both
1 See Brophy, K., et al. (2002).
mundane and special. 2 See Smalley, S. L., et al. (2002).
Another relevant concern, touched 3 Karen LeBacqz, Professor of Theological Ethics, Pacific
School of Religion, statement at meeting of the Hastings
upon earlier in this chapter but important Center Behavioral Genetics Working Group, May 2002.
enough to review here, is that what we 4 See Benjamin, J. et al. (1996) and Ebstein, R. P. et al.
(1996).
perceive to be human traits are social con-
5 See Kluger, A. N. et al. (2002).
structions, not empirical facts. European 6 Task Force on DSM-IV and the American Psychiatric
colonialists of the 16th century viewed Association. Diagnostic and Statistical Manual DSM-IV-TR
(Text Revision). 4th edition, American Psychiatric
skin color as a defining human trait Association (2002).
(humans had light skin). During the 7 Caspi, A. et al. (2000).

8 See abstract for Rhee, S. H. and I. D. Waldman (2002).
Inquisition the Spanish viewed religion as
9 Jacobs, P.A., et al. (1965). The XYY story and its ramifica-
a human trait (humans were Catholic). tions (discussed in the next section) are described in
Beckwith, J. (2002) and Nuffield Council on Bioethics
In the early twentieth century, scientists (2002).
considered attraction to sea faring 10 Brunner, H. G. et al. (1993).
(so-called thalassophilia) a human trait. 11 Caspi, A. et al. (2002).

12 Quoted in Wasserman, D. (2001, pg. 306); see also
The point is that some traits that domi- Gottesman, I. I. and H. H. Goldsmith (1994).
Edgar, H. Forthcoming. “Impulsivity, responsibility, and the
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nation’s highways.” American Civil Liberties Union Special Report.
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chapter seven
HOW IS INTELLECT MOLDED BY
GENES AND ENVIRONMENTS? 7
■ ■ ■ Mr. Huang, a puzzled patriarch

Last night, Mr. and Mrs. Huang were introduced to their future daughter-in-law, Vivian
Lee. They had been eager to meet the woman whom their son Frank had met in med-
ical school. Frank had told them that Vivian graduated first in her class at a private
high school and held a biology degree from Harvard. He also had said that Vivian was
from a well-to-do family: her father is a banker and her mother a university professor.
The Huangs liked what they heard about Vivian because they both come from high-
achieving families. However, when they met her they had a bit of a shock.
The Huangs, who are of Chinese descent, had assumed that Vivian was Chinese, too.
This had been a realistic assumption because Frank had always dated Chinese girls
before and he knew that his parents wanted him to marry within their culture.
Besides, Vivian’s surname is Lee.
Last night, one look at the girl told them she was different from what they had expected. It turns out her father
is a descendent of Irish immigrants. Her mother is a descendent of Kikiyu Kenyans. The Huangs quickly overcame
their surprise and greeted Vivian warmly. They enjoyed their evening with Frank and his fiancée, and of course
have no intention of undermining the couple’s engagement.
But reading the newspaper at breakfast this morning, Mr. Huang wonders about the direction in which his family
tree is bending. The paper contains an article about research into intelligence. Among other things, the article
reported that both White Americans and Black Americans fare less well on IQ tests, on average, than Asian Americans.
For a brief moment Mr. Huang wonders if his future grandchildren will be less intelligent than any children
Frank would have with a Chinese woman. He immediately dismisses this notion as ridiculous speculation and
feels bad for even thinking it.
Focusing back on the facts, Mr. Huang reminds himself that average IQ scores by race do not tell much about
how individuals achieve, particularly individuals like his grandchildren who aren’t even born yet. What might be
more indicative, Mr. Huang ponders, is the fact that Vivian herself is highly intelligent. She has had a good
upbringing and the best possible education. She and Frank are in an excellent position to raise their own
children into intelligent, successful adults. Those children will have a mix of European, African, and Asian
ancestry, but so what? What possible effect could that have on inborn brainpower?
Defining intelligence information and how it takes cues from
Smart. Quick-witted. Sharp. Clever. emotions (our own and others’). Thus
Astute. The English language has many intelligence is a general capacity of the
words that describe intelligence, which brain.
briefly defined is the ability to absorb, Intelligence stands on its own as a trait,
process, recollect, and apply information. but it also permeates all other aspects of
Cognition is the word used by scientists personality. Sense of humor, risk-taking
to specifically refer to the process of tendencies, and sexual attractiveness are
thinking. just three examples of the many human
Certainly one reason why there are so traits that relate to intelligence.
many ways to describe intelligence is that Intelligence very clearly correlates with
the trait involves so many applications of successes in school and work settings.
Some researchers believe that
the mind. Intelligence has to do with the Somewhat surprisingly, intelligence also
“intelligence” acts like a wind ability to reason, to think abstractly, to correlates with overall success in living.
in the sails, pushing one toward draw conclusions, to solve problems, to Less delinquency, greater wealth, better
success in all aspects of life.
learn from experience, and to remember coping skills, higher income, better
Whether intelligence actually
has that effect, and why, requires what has been learned. It also has to do health, fewer accidental deaths, and
further research. with how the mind makes use of sensory longevity are all associated with higher
intelligence, according to research.
“Bright people have a tail wind in virtu-
ally all aspects of life,” claims one
researcher. 1
History of intelligence testing

Intelligence has been more intensely
studied than any other behavioral trait.
Intelligence tests, first developed in the
19th century, have been so heavily
researched, refined, and applied that the
ones used today are fair predictors
(though by no means complete predic-
tors) of academic and professional
achievement. Many scientists believe
them to be “among the most accurate
(in technical terms, reliable and valid) of
all psychological tests and assessments.” 2
Francis Galton is the father of the An early researcher into
genetically based research into intelli- intelligence, Francis Galton,
proposed that eminence in a
gence. His 1869 book Hereditary Genius profession was an indication of
is hailed as “the first quantitative analysis mental ability; when he was able
of human mental ability.” 3 Galton pro- to show that certain families had
more than a normal number of
posed that human mental ability is an
eminent members, he concluded
inherited trait and that individual that mental abilities run in
“genius” (as he called it) varies along a families. At the time (1869),
continuum from very dull to very bright; this was a radical idea.
the percentage of the population at any

point on the continuum decreases as the
extremes are approached. Galton was
describing a normal curve of distribution,
popularly known as the bell curve. His
idea about a range for human intelligence
was novel at a time when it was gener-
ally believed most people had the same Inspired by Galton’s theories, other
intelligence, with just a few being excep- scientists began to devise tests for intelli-
tionally slow- or quick-witted. gence. One of these was the French psy-
To explore the connection between chologist, Alfred Binet. By trial-and-error
intelligence and inheritance, Galton experiments with schoolchildren, both
selected for study men of high stature normal and mentally handicapped, Binet
in their respective profession – the law, deduced what the average child could
literature, science, the military, and so accomplish at each age level. Binet
forth. He assumed that high achievement teamed up with another psychologist,
in a field correlated with high mental Theodore Simon, to create a test used by
ability. He then observed how frequently French school administrators to identify
the first, second, and third-degree rela- children less able to profit from instruc-
tives of his selected subjects also tion in regular school classrooms.
achieved high standing in their fields. The Binet-Simon scale included 30
He compared these frequencies to that tasks such as shaking hands, finding
which could be expected based on a rhymes for words, repeating back a
normal curve of distribution for intelli- sequence of random digits, and
gence. Galton discovered that high answering logic questions. Performance
achievers did in fact cluster in certain on the tests was evaluated to determine
families, and concluded that genius was mental age. According to the Binet-
therefore hereditary. Simon scale, a child had the mental age
CHAPTER 7: HOW IS INTELLECT MOLDED BY GENES AND ENVIRONMENTS? 99

of 12 if he or she could accomplish the conducted IQ tests to support theories
tasks that matched the abilities of the about which types of people were more
average 12-year-old. or less intelligent. At this point in
In the early 20th century, a German American history, slavery had been abol-
psychologist named Wilhelm Stern came ished less than a hundred years earlier
up with the idea of stating intelligence in and waves of new immigrants were
terms of the ratio of mental to chronolog- coming into the country. Much was made
ical age. The popular label for this ratio, over the weak IQ performance of
intelligence quotient or IQ, was coined American Blacks and of immigrants from
later by Lewis Terman, an American Eastern Europe.
psychologist. Terman was a member of a In the latter part of the 20th century,
committee assigned with the task of controversy arose over whether intelli-
developing intelligence tests that could be gence tests were biased. Some questioned
used to help sort the large number of Galton’s original work by pointing out
World War I inductees into appropriate that high professional achievement may
assignments. have less to do with inborn intelligence
Intelligence tests gained in popularity than with having the means for education
after that war. The military continued to and social connections. Other critics
use them for recruitment and placement noted that performance on IQ tests most
purposes, and workplaces and schools accurately reflects whether you can read
started to use them, too. Social scientists the language of the test and are familiar
In the early twentieth century,

laws restricted immigration from
Eastern Europe, based in part on
the false belief that such people
would dilute the intelligence of
the American population.

Today, performance on IQ tests is con- Employers, the armed forces,
sidered a reasonable predictor of success. colleges, and other important
social institutions make use of
IQ scores correlate reasonably well, intelligence and aptitude tests
though imperfectly, with academic and to screen and place applicants.
professional achievement and they corre-
late to a lesser extent, though more than
randomly, with success in social and
personal aspects of life.
Measuring g
Many intelligence researchers accept the
theory that there is some underlying
ability to learn that feeds into all cognitive
performance. This ability is called g.
with facts from the culture of those who The term stands for general cognitive
create these tests. Critics also claimed ability. The concept of g was first articu-
that scientists were interpreting data in lated more than 100 years ago by Charles
ways that supported their pre-existing Spearman, a British psychologist, and it
racial and cultural prejudices. refers to a basic, core ability to make use
Advocates took some of these concerns of information. Some researchers refer to
to heart and sought to create less biased, g by two other eponymous terms, “global
more accurate tests. Many tests have factor” and “general intelligence factor.”
been developed, each using a different Scientists debate whether g is an actual
selection of tasks to measure intelligence property of the brain such as some neuro-
in its various manifestations: mastery of logical mechanism at work (the minority
vocabulary; text comprehension; math view) or merely an abstract property like
skills; memory; visual acumen; under- “horsepower” (the majority view).
standing of universal concepts such as The concept of g derives from the
up/down and in/out; grasp of general observation that any given individual
knowledge; speed of response; applica- tends to perform at about the same level
tion of logic; and more. These tests on a diverse range of intelligence tests.
continue to have an enormous role in Whether you give someone a math test or
modern society. This is particularly true in a vocabulary test, an oral test or a pen-
education, as attested to by the wide- and-paper test, a test with words or a test
spread use of the SAT and other tests that with pictures, a timed test or an untimed
measure scholastic aptitude. test: across all types of tests, most people

score somewhat consistently. ment to the theory of g. They suggest that
A statistical procedure called factor g is comprised of distinct subsets of
analysis is applied to scores on a variety of cognitive ability including fluid intelli-
tests, weighting each differently gence (abstract reasoning), crystallized
according to the complexity of the test’s intelligence (vocabulary and general
cognitive demands, to arrive at a number knowledge), visual-spatial ability,
for this pattern of consistency. That memory, and speed of processing. This
number is called g, and it is roughly theory is also based on factor analysis: an
equivalent to IQ, but is considered individual’s scores on certain types of
slightly more pure. This is because the intelligence tests tend to correlate more
pooling of data from many types of tests highly compared to the correlation of that
dilutes the possibility that what is being individual’s scores on all types of tests.
measured is a specific set of learned skills An alternative to the notion of g is the
rather than a basic aptitude. idea that intelligence spans many
Across IQ tests, g accounts for about different human abilities. One such
40 percent of the variance in perform- theory of multiple intelligences (proposed
ance. Within any single test, most of the by Howard Gardner in 1983) holds that
variance is independent of g. The signifi- humans have eight forms of intelligence:
cance of that anomaly is that g is not the linguistic, logical-mathematical, spatial,
only factor involved in cognition. kinesthetic, musical, intrapersonal, inter-
Some researchers have added a refine- personal, and naturalist. Other similar
Researchers have observed

that some people apply mathe-
matical calculations and other
problem-solving skills in real-life
situations much better than they
do on IQ tests.

theories propose different cognitive to add and subtract in a classroom. By the
domains. The multiple intelligences same token, Liberian tailors are able to
theory raises the possibility that measure- make precise arithmetic calculations
ments of g capture some, but not all, when measuring customers but cannot
aspects of intelligence, and that it may not do the same when tested.
be possible to comprehensively measure This idea of multiple intelligences was
the trait in full. first raised in the 1950s, about half a cen-
Other researchers are highly critical of tury after g was proposed. It has not been
the whole concept. Some argue that the as extensively applied and researched as
construct of g is of no value in the search g. Indeed, among many scientists
for the underlying neurobiological researching intelligence today, g is consid- g is the ability to learn that
processes that contribute to cognition. ered beyond dispute. g is the core piece of underlies all cognitive perform-
One scientist has decried “the unreality of data used in analyses that compare the ance. Some researchers are
seeking the genetic contributors
g and the fallacy of regarding intelligence intelligence of individuals and groups.
to g,, while others question
as a single-scaled, innate thing in the If the critics are correct, however — whether g is actually a real or
head.” 4 Critics point out that if you alter if there is no g — then many of the con- useful concept.
the underlying assumptions used in factor clusions drawn from intelligence research
analysis, no single number g emerges. will have to be revisited. The reader is
They believe that the positive correlations advised to keep this in mind while
in an individual’s performance on various reading the next sections of this chapter.
IQ tests do not have to do with any
underlying factor, but rather simply reflect
the individual’s life circumstances. Quantitative research into
They assert that someone who is well fed, intelligence
adequately sheltered, educated, and A great many quantitative studies have
expected by family and peers to achieve, shown that IQ correlation increases as
will do well on most tasks set before him genetic similarity increases. Quantitative
or her. Someone in opposite circum- studies also provide evidence of environ-
stances will not do as well, across mental influences on intelligence:
the board. • In studies of identical twins raised
Some suggest that g only reflects test- together, IQ scores do not correlate
taking skills, not intelligence as it is used completely. You would expect near-per-
in real life. For example, the social anthro- fect correlation between genetic equals
pologist Jean Lave has observed that poor if IQ were solely hereditary.
favela children in Rio de Janeiro easily do • In studies comparing blood relatives
arithmetic when selling wares on the raised together to those raised sepa-
street but perform miserably when asked rately, the IQ scores of the former tend

Children with strong early intelli- to be more similar than those of the estimates ranging broadly around 0.50.
gence may tend to select environ- latter. Taken together, they suggest that genetics
ments that nurture and support
• In studies of family members not and environment are roughly equivalent
the development of their intelli-
gence. Thus their genetic related by blood (for example, parents in their influence on the variation in IQ.
tendency would be reinforced and their adopted children), there The relative contributions of the shared
by their environment through is modest, but statistically significant, and the non-shared environment also
development.
correlations of IQ scores. have been partitioned out in heritability
Most quantitative studies of intelli- estimates, and this had led to one sur-
gence measuring modern Western popu- prising bit of data. Compared to most
lations have produced heritability other behavioral traits, intelligence in
childhood seems to be more significantly
shaped by the shared environment com-
pared to the nonshared environment.
This could possibly mean that the home
environment has a greater influence on a
child’s cognitive development than on
other characteristics, such as personality.
Researchers are interested in how the
contributions of genes and environment
change over time. Do inherited character-
istics become more important as one gets
older, or does the influence of the
environment become more important?
Most studies of IQ kinship correlations
show that genetic influence grows and
shared environmental influence falls
away almost completely.
One possibility is that heritability
increases with age because of genotype-
environment correlation. That is, as
people grow up they are able to exert
more control over their experiences. For
example, children with higher innate
intelligence might choose to engage in
activities that stimulate their intellect
such as pursuing formal education,
reading, spending time in stimulating

conversation, and engaging in work that Well-nurtured and stimulated
challenges the mind. By contrast, children tend to perform better
on IQ tests than children who lack
children with lower innate intelligence such benefits. This is evidence for
might gravitate towards non-intellectual the environmental contribution to
activities. Thus, genetic tendencies would intelligence.
be reinforced over time.
The opposite possibility is that the
effects of the environment become
stronger as one gets older. Under this sce-
nario, children who grow up in stimu-
lating homes and who attend quality
preschools would follow a higher intellec-
tual trajectory than children whose early
years are less supportive. They would get
better grades in school, have a better
chance of making it to college and have
more motivation to enroll there, have the
academic credentials to obtain intellectu-
ally-challenging jobs, etc. Thus, the effects Molecular research
of early environment would become mag- into intelligence
nified over time. As the careful reader should realize by
Another possibility is that the relative now, twin studies tell us nothing specific
contributions of genes and environment about the genetic and environmental fac-
remain stable over the lifetime. In 1997, tors underlying intelligence. Molecular
data supporting this hypothesis emerged research seeks to bridge this gap, at least
from a study of 240 pairs of Swedish in terms of identifying genetic contributors
twins in their eighties. In this study, the to intelligence; in turn this may aid in the
heritability of general cognitive ability search for environmental contributors.
was computed at 0.62.5 This is relatively The operating assumption is that cogni-
close to the heritability estimates from tion is a complex trait with many genes
studies of younger subjects and thus sup- involved, each of relatively small effect.
ports the proposition that the heritability There are exceptions to this general rule.
of IQ does not shift significantly with age. As we described in earlier chapters, some
More research is needed before the ques- people acquire damage to their brains,
tion of how intelligence is affected by significantly affecting their intelligence,
genes relative to environment over time from disorders such as PKU, Fragile X,
can be answered. and early-onset Alzheimer’s. Each of these

disorders stem from problem alleles in a imagine the variety of genes involved in a
single gene. trait like intelligence is to picture the
The general rule, however, is that cog- different products involved in the struc-
nitive abilities are shaped by a multitude ture of a house. Concrete, plaster, wood,
of genetic and environmental factors that plastic, nails, glass, metal — each serves a
interweave throughout development. It is different purpose, yet contributes to the
estimated that any single gene accounts overall structure. Endophenotypes are the
for at best 1 to 2 percent of the variation equivalents of the products that make a
in intelligence; discrete environmental house. They are the intermediate traits,
factors likely make similarly modest con- the underlying processes that contribute
tributions. This means that highly intelli- to a phenotype. For cognition, these
gent people are blessed not with one endophenotypes would include such
brainy gene, but rather with an abun- things as speed of information processing,
dance of “positive alleles for high g,” as capacity of working memory, synapse
some researchers refer to them.6 They dexterity, receptor functionality, and a
may also have experienced favorable great many more elements of brain
nutritional and nurturing conditions activity. (A diagram illustrating endophe-
during their development and/or been notypes appears on page 86.)
raised in an environment conducive to To use another metaphor, just as tiny
intellectual growth. Persons with lower rivulets running down a mountain join
intellect may possess an inordinate together into a mighty stream, each rele-
amount of “negative alleles for high g,” vant gene contributes to the causal
may have experienced unfavorable condi- pathway by which intelligence is formed.
tions during their development, and/or For genetic researchers, the concept of
may have been raised in intellectually endophenotypes narrows and makes
unsupportive environments. more manageable the search for relevant
Genes and environment interacting genes. Using genomic scans or association
Endophenotypes are the through processes of development form a studies, they can look for correlations
underlying processes to a trait. triple whammy: anyone who comes up between tiny but discrete aspects of brain
For example, for the trait of
favorably in all three categories has a function and specific alleles of single
intelligence, endophenotypes
might include speed of informa- strong likelihood of high g. Anyone who genes. This is how several candidates for
tion processing, capacity of comes up short across the board has a “IQ genes” have been identified.
working memory, and other traits. strong likelihood of low g. For those with The quest to find the individual genes
A useful analogy can be found in
the component parts of home
a middling assortment, the likely range that contribute in some small but measur-
construction such as bricks, for g is much broader. able way to intelligence bring to mind an
lumber, and tools. To focus back on just the genetic con- old Chinese proverb: “In vain do men
tributors to intelligence: one way to seek the source of great rivers.” Despite

formidable obstacles, some researchers are learning and memory. Investigations into
pursuing this quest. Hundreds of molec- IGF2R, whether or not they confirm this
ular studies have been conducted, and particular gene as having anything to do
several genes contributing to cognitive with intelligence, may shed light on how
function have been tentatively identified insulin figures in cognition. Following the
in humans, mice, and even in fruit flies. trail of other implicated genes may offer
One such gene achieved some promi- new insights into how intelligence
nence in a 1998 study. Named IGF2R, emerges in human beings.
the gene is on Chromosome 6 and is an
acronym for “insulin-like growth factor-2
receptor.” Insulin-like growth factors are Predicting individual
hormones that affect the work of the intelligence
nervous system. In this particular study, Molecular research sheds light on genetic Several genes have been
researchers conducted scans of a segment inputs, but not on specific individuals. investigated as being potentially
involved in intelligence, including
of Chromosome 6 in high-IQ children and IGF2R gene researchers made this very
one called IGF2R, located on
a control group of children. A tiny but sig- point in their published results. They Chromosome 6. None of the can-
nificant proportion of the high-IQ chil- specifically noted that more than half of didate genes has been confirmed.
dren were found to have a particular the high-IQ children did not have Allele 5 In any event, there is certain to
be a great number of genes
allele for IGF2R, Allele 5, compared to for IGF2R, while almost a quarter of the involved.
the control group children. Allele 5 also control-group children did. When and if
was found in slightly greater proportion in the gene IGF2R is confirmed as having a
tests on children with extremely high role in IQ, it will not be a signpost for
IQs, high mathematical ability, and high who’s bright and who’s not. It may, how-
verbal ability. 7 ever, be recognized as an intelligence sus-
A follow-up study by the same ceptibility gene.
researchers failed to confirm the hypoth- Suppose molecular researchers
esis that the IGF2R gene is associated someday identify the scores of genes that
with cognition.8 Other genes proposed as weave together into cognition. They fur-
candidate “IQ genes” have not been ther identify the “positive” and “nega-
confirmed, either. But the point of this tive” alleles for each gene. Then they do
research is not only to discover the par- a genome scan of an individual to count
ticular genes that help shape intelligence. the number of “positive alleles” present.
It also is to understand how intelligence is They still will not be able to state with
affected by an overall biological/environ- certitude anything about that person’s
mental/developmental process in which intellectual abilities. Scientists might be
genes play a part. For example, there is able to offer a likely range for that indi-
speculation that insulin may play a role in vidual’s intelligence, but it would be a

supportive environments may be able to
build intellect even in individuals
bequeathed with a relatively poor set of
genetic material. Some researchers specu-
late that the environment during prenatal
and early childhood development are
particularly important factors for intelli-
gence. A child who receives adequate
nutrition in the womb, is nurtured and
stimulated as a baby, and is exposed to
early education can obtain important
boosts to cognition.
One psychologist asserts, “We have
demonstrated that intellectual skills often
believed to be innate are extremely sensi-
tive to the environment.” 9 This psycholo-
gist has conducted research that
produced correlations between the verbal
stimulation provided by parents and the
vocabulary and grammatical dexterity
acquired by children. Other researchers
have found correlations between many
other specific environmental conditions
and intelligence.10 But the key word here
is correlation. Researchers have not yet
found a way to move beyond correlation
to identify discrete environmental equiva-
guess all the same. This is because genes lents of genes that mold behavior.
Even if you are born with weak are probabilistic, not deterministic, for the Even if every genetic and environ-
eyesight, your vision can get reason that should be obvious by now to mental input were identified, prediction
close to perfect using corrective
the reader — they operate within envi- will never be perfectible. To understand
procedures and lenses. In the
same way, even if you are born ronments over time. why, think about weather forecasting.
with “weak” intelligence, environ- Eyesight makes a useful example here. Meteorologists today make use of a great
mental interventions can boost Presume that nearsightedness is a genetic deal of data concerning atmosphere,
your brainpower dramatically.
trait. If you inherit your father’s nearsight- terrain, precipitation, temperature, ocean
edness, a pair of eyeglasses can correct currents, and all the other discrete vari-
your vision to 20:20. In the same way, ables that coalesce into rain on this side

of the mountain and sunshine on the
other. As a result, weather prediction is
more accurate than it used to be, but
because of the nonsystematic way these
variables interact it may never be exact.
Similarly, as scientists learn more about
the processes by which genes and envi-
ronment interact over time, they might
get better at predicting individual intelli-
gence. Yet, because the inputs are
nonsystematic, such predictions will
never be precise and sometimes they will
be really wrong.
Mr. Huang’s speculations ables including occupation, education,

Many studies have analyzed academic income, wealth, and place of residence. Black children given IQ tests score
achievement by race. This research may The original intention of this study was to similarly to White children of the
same socioeconomic status.
be of interest to Mr. Huang, who is won- learn about cerebral palsy and other
dering about the cognitive prospects of health complications from childbirth, not
future children born to his son, who is of intelligence. However, many thousands of
Asian descent, and his future daughter-in- pieces of data were collected on the sub-
law, who has European and African jects, including IQ scores for the more
ancestry. than 59,000 children born to these
There is reason to believe that race and mothers, obtained at ages four and seven.
intelligence are not related biologically. According to this data, when sorted by
Important data on this point comes from SES there is very little difference in IQ
The National Collaborative Perinatal between Black and White children.11
Project, a study that began in 1959. Some Despite the significance of this finding,
48,000 pregnant women were enrolled it has rarely been cited in scholarly papers
from several major U.S. cities. A roughly on intelligence. What has gained more
equal number of Black and White partici- prominence is other IQ testing data col-
pants were involved. Importantly, the lected before and since (mostly from sub-
socioeconomic status (SES) of the subjects jects in the upper tiers of SES) and pooled
covered a broad span. SES refers to one’s together to draw bell curves for the popu-
position within a hierarchical social struc- lation as a whole as well as for various
ture, and it is determined by several vari- subgroups.

Looking at these bell curves, Accounting for disparities
Mr. Huang might be relieved to learn that in population IQs
people of all races and ethnicities can be The discrepancies described above have
found at every IQ level, including the been used by some people to argue that
high end of the curve. On the other hand, there is an intrinsic, biological difference
Mr. Huang might be disturbed to learn between people of different racial and
that the bell curve for White Americans is ethnic groups. “Most experts believe that
centered somewhat lower compared to environment is important in pushing the
East Asians and Jews. The bell curve for bell curves apart, but that genetics could
Black Americans and Hispanics sits even be involved too,” according to an essay
lower. Mr. Huang also might be troubled on intelligence signed by a large number
by U.S. Census Bureau data indicating of researchers in the field and published
that, compared to Asian Americans, a in the Wall Street Journal in 1994.12
smaller percentage of White and Black There are many possible explanations
Americans complete high school, have for how the environment pushes the bell
college degrees, and are in professional or curves apart. It is speculated that the
managerial jobs. Asian culture’s emphasis on achievement
Whites do better than Asians on some could account, in part, for the compara-
measures; for example, their unemploy- tively higher I.Q. performance of Asian
ment rate is lower and their home own- Americans. It should be noted here that
ership rate is higher. But Blacks do worse “Asian American” is a very broad term
than both Asians and Whites on several that encompasses Asian Indian,
measures. For example, even when Bangladeshi, Cambodian, Chinese,
Blacks and Whites achieve equally well Filipino, Hmong, Indonesian, Japanese,
on standardized tests such as the SAT, Korean, Laotian, Pakistani, Thai,
the former are outperformed by the latter Taiwanese, Vietnamese, and others.
academically. Grade point average is
lower, they drop out of school at higher
rates, and the time to graduation is longer.
This has been called the over-prediction
phenomenon: for Blacks, performance on
standardized tests over-predicts their aca-
Education is highly revered in demic achievement compared to Whites
Chinese and Japanese cultures. with the same score. In other words,
This could explain in part why
even when Blacks are as well prepared
Chinese-American and Japanese-
American children, as groups, academically as Whites, they do not
tend to do well in school. perform as well academically.

Of these groups, the “model minority”
label best fits Chinese and Japanese
Americans because they rank so highly on
various measures of achievement.
Different immigration experiences could
explain the much lower levels of achieve-
ment for other Asian American popula-
tions. Similarly, the immigration struggles
of Hispanic Americans might account for
their lagging IQ scores relative to Whites
and Asians.
The poverty, segregation, and discrimi-
nation that African Americans have his-
torically experienced since slavery days
and continue to experience could
account for their relatively lower achieve-
ment, as a group, on IQ. Another recent
theory is that African Americans perform
less well academically because they suc-
cumb to stereotypes about themselves. were given a section of the verbal part of
A number of studies have demonstrated the GRE test. Some of the students were Research suggests that academic
that people’s performances suffer when told that the test was to measure their performance suffers when people
feel they are being watched or
they know they are being watched, when ability, while others were told that the judged or when they feel some-
they know that their performance has a test was simply a problem-solving task. thing important rides on the
consequence (for example, that they Interestingly, Black students underper- results.
might lose a prize), or when they are formed White students only in the groups
aware that they are different from others that had been told their ability was being
in the test group (for example, if they are measured. The researchers ascribed this
the only female being tested in a group of phenomenon to “stereotype threat.”
males). Therefore, it could be that the In their words,
mere fact of being African American in a …whenever African American
culture that stereotypes Blacks as inferior students perform an explicitly
may be sufficiently disturbing to impair scholastic or intellectual task, they
performance. face the threat of confirming or
Indeed, this is the finding of a ground- being judged by a negative societal
breaking study published in 1995. In this stereotype — a suspicion — about
experiment, groups of college students their group’s intellectual ability and

competence. This threat is not age seven. The new study used the NCCP
borne by people not stereotyped in twin and SES data along with advanced
this way. And the self-threat it causes model fitting techniques to parse out the
– through a variety of mechanisms relative contributions of genetics and
— may interfere with the intellectual environment. The researchers concluded
functioning of these students, partic- that genetic influence varies depending
ularly during standardized tests.13 on socioeconomic status.
The researchers also argue that long-term According to the abstract (summary) of
effects on Blacks of stereotype threat may the study, “In impoverished families,
be for them to reject the ideal of academic 60 percent of the variance in IQ is
achievement, to lose interest in achieve- accounted for by the shared environment,
ment, to put less effort into it, and as a and the contribution of genes is close to
result, to achieve less. zero; in affluent families, the result is
Class (which closely parallels race in almost exactly the reverse.” The implica-
this country) could be another environ- tion is that the quality of the environment
mental factor that pushes the bell curves has a swamping effect; impoverished con-
apart. A 2003 study made fresh use of ditions tend to suppress genetic potential,
twin data from the National Collaborative while enriched conditions tend to allow
Perinatal Project (which, as we men- genetic potential to flourish. The study
Based on twin studies,
researchers have suggested
tioned previously, had been underappreci- concluded, “Although there is much that
that the environment may have ated). The NCPP included so many remains to be understood, our study and
a greater impact on the develop- mothers and their children that it con- the ones that have preceded it have
ment of intelligence for children
tained data on more than 600 twin pairs. begun to converge on the hypothesis that
raised in impoverished environ-
ments compared to those raised NCCP researchers were able to locate the developmental forces at work in poor
in rich environments. about half of those pairs for IQ testing at environments are qualitatively different
from those at work in adequate ones.”14
How would genetics push the
bell curves apart? It would mean that
“positive alleles for g” are more prepon-
derant in one racial group than another.
Such differences among geographically
dispersed human populations could con-
ceivably have occurred through the forces
of natural selection.
Since environments and genetics work
together over development, the human
group that achieves best on intellectual

scales would be the one that has advan-
tage in both environmental and genetic
departments. And so while one could
speculate that Asian Americans have a
greater assortment of “positive alleles for
g” than any other racial or ethnic group,
alternate hypotheses also could be pro-
posed. For example, it could be that Asian
Americans are not more gifted genetically As a well-known example, the alleles that
than other groups, but they are advan- lead to the blood disorders of sickle cell
taged environmentally. Or it could be that disease and thalassemia appear more fre-
African Americans are so disadvantaged quently in African and Mediterranean
environmentally that their equivalent or populations, respectively. Such facts jus-
even superior genetic gifts cannot make tify the quest pursued by some
up the difference. researchers to discover the “IQ genes”
But this is all speculation. The difficulty that would explain why some racial and
in researching racial differences in cogni- ethnic groups dominate in intelligence It is possible for two people of
tion lies in the fact that racial identifica- testing and achievement. different races to be more related
genetically to each other than
tions are less a biological fact than a social Researchers might be able to obtain they are to some people from
construct. Population genetics is the usable data on the race and intelligence their own respective race.
branch of science concerned with gene question through molecular techniques.
frequencies — the prevalence of alleles in For example, it may be possible to deter-
populations. As any population geneticist mine ancestry of subjects through DNA
will tell you, there is more genetic diver- analysis, give them intelligence tests (that
sity between individuals of one popula- are not culturally biased), and see how
tion than there is between population those whose lineage traces back to Asia
groups. A White person from Denmark perform on these tests compared to those
may be more similar genetically to a Black whose ancestors come from Europe or
person from Sudan than to another White Africa.
Dane. Your “race” (as determined by your In the final analysis, though, the
own choice or as assigned by others) answers will have to do with populations,
yields less data useful to behavior not individuals. Mr. Huang cares not
research than specific information about about how Asian Americans, White
your particular biological ancestors. Americans, or Black Americans fare as
Yet considered on a statistical basis, groups in terms of intelligence. He cares
some alleles do occur more frequently in about the potential of his individual,
some racial and ethnic populations. mixed-race American grandchildren.

Perhaps some day, when scores of sus- Eugenics, nurtured in America and
ceptibility genes for IQ have been identi- other western countries, led to the aggres-
fied, microarray analysis could determine sive promotion of childbearing among
the number of alleles associated with high educated White women. This is an
cognitive capabilities that are possessed example of positive eugenics. It also led to
by Mr. Huang’s descendents. That is not the institutionalization of the “unfit” to
yet possible. Even if it were, the data prevent their procreation and to the
would produce only a measure of prob- extensive use of sterilization on those
able potential. What happens over time declared feeble-minded or insane. These
with that potential — whether it is maxi- are two examples of negative eugenics.
mized or wasted — remains outside Sterilization victims often were poor
anyone’s full control. and/or non-White and in most cases con-
sent was not obtained. In the U.S., more
than 40,000 eugenic sterilizations were
Eugenic concerns conducted in thirty states between 1907
In an ideal world, Mr. Huang would and 1944.
never even entertain the notion that a Eugenic ideas were adopted to hideous
grandchild with a superficial racial differ- effect by the Nazi government in
ence might have inferior intelligence. But Germany, which sterilized hundreds of
the world in which Mr. Huang lives is not thousands and killed millions on the
ideal. There is a long history of humans grounds that they were diseased, of low
seeking to find distinctions between intelligence, or politically troublesome.
groups in order to declare that one is They targeted enemies, primarily the
better than another. Jews, and used eugenic arguments to
Francis Galton, cited at the beginning justify their policies.
of this chapter as the father of modern After World War II, eugenics fell into
genetics, is also the fellow who coined disfavor, though some policies such as
the term eugenics. It comes from the sterilization remained in effect in a few
Greek for “well born,” and stands for the countries for many more years — in the
idea that human races can be improved U.S., through the 1970s. Yet the basic
through selective breeding. Tied to this philosophy of eugenics endures. In 1994,
philosophy is the concern that humanity controversy over eugenics re-emerged
will degenerate without deliberate inter- with the publication of The Bell Curve.
vention. Conceived in noble ideas about In this book the authors described a
the betterment of mankind, in practice “dysgenic trend”: the poorly educated
twentieth century eugenics was base and were reproducing more rapidly compared
shameless. to the well educated. The authors

claimed that race and class differences in The Nazis used pseudo-scientific
IQ are primarily genetic and immutable.15 eugenic theories to justify the
oppression and mass murder
Many people from the fields of genetics, of Jewish people and other
sociology, and statistics have presented non-Aryans. Today, some people
strong scientific arguments against these fear that behavioral genetic
theories could be distorted to
claims. Nonetheless, the debate itself
advance the idea that some
gave fresh sustenance to the perception people are better than others.
that race matters.
Genetic discoveries open the door
to new ways to practice eugenics.
For example, it is now possible to select
children based on genetics. Selection
techniques fall into two categories: selec-
tions for therapeutic reasons — to avoid
serious medical disorder — and selec-
tions for enhancement — to obtain
a desired trait.
DNA can be obtained from fetuses
through amniocentesis and other tech-
niques used for prenatal diagnosis, and
some parents now use this information to
decide whether or not to continue a preg- that prenatal screening today is imper-
nancy. DNA also can be obtained from fectly implemented; Cystic fibrosis
embryos created through in vitro fertiliza- testing in the United States has resulted
tion, and parents sometimes use this in some terminations of healthy fetuses
information to select which embryo or due to misinterpretation of results,
embryos to implant in the mother. according to medical geneticists.16
At the present time, prenatal diagnosis Prenatal diagnosis also can be used to
is used primarily to determine the pres- select for sex, either for medical reasons
ence of problem alleles linked to single- such as if the family has a history of an
gene disorders, so as to avoid giving birth X-linked medical disorder (in which case
to a child with a fatal illness. For they would select for a girl), or if the
example, in the U.S. standard prenatal parents simply prefer to have a child of a
care now includes a DNA screening test particular sex (in which case they most
for cystic fibrosis. Tests for many other often select for a boy).
diseases will probably become routine in It is not possible to genetically select for
the coming years. It should be mentioned such behavioral traits as pleasant disposi-

tion, athleticism, altruism, or high intelli- • Will parents feel obliged to select for
gence. One reason it is not possible is that enhancement so as not to disadvantage
we do not yet have solid proof about any their child?
of the genes that play any part in these • How will selecting for particular traits
behavioral traits. Even if and when all affect the parent-child relationship?
relevant genes are identified, genetic • What are the psychological, legal, and
selection for a behavioral trait will be social ramifications when children do
complicated by the fact that many genes not meet the potential expected by
are involved. their enhancements?
Yet as research advances, it may In the end all such questions may be
become feasible to identify the many moot, because complex behavioral traits
genes associated with a behavioral trait such as intelligence may be forever
and to engineer embryos to carry all the beyond our ability to engineer. The more
known “positive alleles” for that trait. we learn about behavioral genetics, the
Would such engineering actually create a more likely it seems that we will never be
Genetic research could make it
possible for parents to pre-select
child who grows up to have the desired able to completely predict or control how
the behavior characteristics of trait? Possibly yes, but possibly no, our children think, how well they think,
their children — or at least to try. because the effects of genes on behavior and what they do with their thoughts.
Even if such genetic selection
are determined by their environmental
could be done, the unforeseeable
effects of the environment would context over the course of development.
make the results uncertain. A more likely possibility is that
Notes
enhancement opportunities will be mar-
1 Linda Gottfredson, Professor of Education, University of
keted by genetic testing companies before Delaware, quoted in Holden, C. (2003, pg. 192).
there is any solid scientific basis to their 2 Gottfredson, L., et al. (1994, pg. 13).
3 Wozniak, R. H. (1999).
products. This, of course, would be
4 See Gould, S. J. (1995, pg. 2).
ethically problematic. Many other ethical 5 See McClearn, G. et al. (1997).
concerns also attach to the possibility of 6 See, for example, Chorney, M. J. et al. (1998).
genetic enhancement for behavioral 7 Chorney, M. J. (1998).
traits: 8 Hill, L. et al. (2002).

9 University of Chicago psychologist Janellen Huttenlocher,
• When and if enhancement technology quoted in Wickelgren, I. (1999. pg. 1832).
becomes available, who will have 10 See Wickelgren, I. Ibid.
access to it – only the rich, or everyone 11 Nichols, P., and V. Elving Anderson (1973).
12 Gottfredson, L., et al. (1997, pg. 15).
equally?
13 See Steele, C. M. and J. Aronson (1995, pg. 797).
• Who decides what enhancements are 14 Turkheimer et. al. (2003). Abstract quotation from pg. 623.
desirable – individuals or society? Study quotation from pg. 628.
15 Herrnstein, R. J., and C. Murray (1994).
16 See Concar, D. (2003).

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GLOSSARY/INDEX
The numbers after each term represent the chapter in which it first appears.
additive 2 allele 2
When an allele’s contribution to the variation in a One of two or more alternative forms of a gene; a single
phenotype is separately measurable; the independent allele for each gene is inherited separately from each
effects of alleles “add up.” Antonym of nonadditive. parent.
ADHD/ADD 6 Alzheimer’s disease 5

Attention Deficit Hyperactivity Disorder/Attention A medical disorder causing the loss of memory, rea-
Deficit Disorder. Neurobehavioral disorders character- soning, and language abilities. Protein residues called
ized by an attention span or ability to concentrate that is plaques and tangles build up and interfere with brain
less than expected for a person's age. With ADHD, there function. This disorder usually first appears in persons
also is age-inappropriate hyperactivity, impulsive over age sixty-five. Compare to early-onset Alzheimer’s.
behavior or lack of inhibition. There are several types of
ADHD: a predominantly inattentive subtype, a predomi- amino acids 2
nantly hyperactive-impulsive subtype, and a combined Molecules that are combined to form proteins.
subtype. The condition can be cognitive alone or both The sequence of amino acids in a protein, and hence pro-
cognitive and behavioral. tein function, is determined by the genetic code.
adoption study 4 amnesia 5

A type of research focused on families that include one Loss of memory, temporary or permanent, that can result
or more children raised by persons other than their from brain injury, illness, or trauma.
biological parents. In an adoption study, adoptees, their
biological parents, their adoptive parents, and/or other antibodies 2
members of the biological and adoptive families are Proteins produced by immune system cells that bind to
assessed for resemblance on a trait. The objective is to microorganisms, such as viruses and bacteria, and inacti-
determine the relative importance of genetic and vate them.
environmental influences.
antisocial behavior 6
aggression 6 Acting in a manner that is hostile or harmful to organ-
Behavior manifested by destructive and attacking ized society; especially deviating sharply from the social
actions, by covert attitudes of hostility and obstruc- norm.
tionism, or by a healthy self-expressive drive to mastery.
Aggression may arise from innate drives and/or in antisocial personality disorder 6
response to frustration. Medical diagnosis of having a pattern of behaving against
the norm or in hostile and harmful ways.
GLOSSARY/INDEX 119
Glossary 03/08/2004 9:58 AM Page 120
association study 4 there is sluggishness (inertia), loss of self-esteem,

Form of molecular research that seeks to test whether withdrawal, sadness, and a risk of suicide.
the variation in specific DNA sequences might be statis-
tically correlated with the variation in a particular trait. candidate gene 2
This approach is used to detect genes with relatively A gene that has been hypothesized (often on the basis of
small effect on a trait. animal studies) to have a causative effect on a phenotype.
autism 5 causal pathway 6

A complex developmental disability that emerges in early The chain of events from cause to effect, such as from
childhood and interferes with the normal development genotype and environments to phenotype.
of social skills and communication.
chromosomes 2
base 2 The structures in an organism that contain an indi-
See nucleotide. vidual’s genes. Humans typically have 46 chromosomes
in every cell of their body, inheriting one of each
behavior 1 chromosome in a pair from each parent. If a chromo-
The response of an individual or group to its environ- some is missing, duplicated, or damaged, an individual
ment or within the context of its environment. The term can develop health problems.
can refer generally to the way in which someone
behaves or to an instance of such behavior. cloning 4
A laboratory technique by which embryos are created
behavioral genetics 1 using the complete DNA from the cell of one individual
The study of the relationship between genetic and envi- (as opposed to embryos that are created when a sperm
ronmental factors in accounting for individual differences and egg cell combine).
of behavior.
CODIS (Combined DNA Index System) 6
bipolar disorder 5 A searchable database of DNA profiles from convicted
A mood disorder characterized by swings from mania felons, operated by the Federal Bureau of Investigation
(exaggerated feeling of well-being) to depression, with a (FBI).
tendency to recur and subside spontaneously. Either the
manic or the depressive episodes can predominate and cognition 1
produce mood swings, or the patterns of mood swings The act or process of knowing, which includes aware-
may be cyclical. The manic phase is characterized by ness, judgment, perception, reasoning, and conceiving.
elation, hyperactivity, over-involvement in activities,
inflated self-esteem, a tendency to be easily distracted, complex 5
and little need for sleep. The manic episodes may last Resulting from the expression of many different genes
from several days to months. In the depressive phase and the influence of many environmental factors.

Glossary 03/08/2004 9:58 AM Page 121
concordance rate 4 depression 1

The proportion of a sample of twin pairs that both have A mental state characterized by low mood, low energy,
a particular trait. and low enjoyment.
consciousness 3 developmental noise 3

A sense of existence within a surrounding; a sense of The variation introduced by minute, random events that
being able to take action. occur during development and have a significant cumu-
lative effect on the phenotype.
continuous trait 2
A trait that is measured on a continuous scale, developmental pathway 3
for example, height. Synonym of quantitative trait. The chain of events that occur over the course of an
Antonym of discontinuous trait. organism’s development to produce its phenotype.
control group 4 diploid 2

A group of subjects in an experiment who do not have Having each chromosome in two copies per cell.
the trait under study or who are not given the experi-
mental treatment under study. discontinuous trait 2
A trait that is either present or is not present.
correlation 2 For example, a diagnosis of diabetes. Antonym of con-
An index of resemblance between two variables. tinuous trait.
Correlation also indicates resemblance between pairs of
subjects such as twins, ranging from .0 for no resem- DZ (dizygotic) 4
blance to 1.0 for complete resemblance. Resulting from two fertilized eggs occurring in the same
womb at the same time, producing embryos that are
correlation coefficient 4 roughly half identical (fraternal twins).
A number reflecting the extent to which scores on one
variable can predict scores on a second variable. DNA (deoxyribonucleic acid) 2
The double-stranded molecule encoding the total genetic
criminality 6 information of most organisms.
The tendency to break the law, to be arrested, and/or to
be convicted of a crime. dominance 2
When one allele at a loci has overriding influence on the
crossing over 4 genotype relative to another allele at the loci.
See recombination.
dominant disorder 5
cystic fibrosis 2 A disorder that can occur when either one or both of
A disorder affecting the mucous lining of the lungs, the alleles at a locus are mutations that improperly code
leading to breathing problems and other health difficulties. for protein. Contrast with recessive disorder.
GLOSSARY/INDEX 121
Glossary 03/08/2004 9:58 AM Page 122
dopamine 6 epigenetic 2
A type of neurotransmitter. When the action of a gene is affected without its DNA
being altered.
early-onset Alzheimer’s 2
A form of Alzheimer’s disease that usually first appears in epistasis 2
persons less than sixty-five years of age. When an allele at one location in the genome affects the
expression of another allele at another location.
endophenotype 6
An intermediate trait that contributes to a phenotype. equal environments assumption 4
For example, capacity of working memory is an The hypothesis that the environment of an identical twin
endophenotype of intelligence. pair does not work to make those two alike to any
greater degree than the environment of a fraternal twin
enhancement 6 pair works to make those two alike.
The altering of a trait or set of traits to more desired
forms. ethnic 7
Describing a population of people that are related by
envirome 3 blood and/or have common characteristics in terms of
The sum of all environmental influences surrounding physical appearance, culture, religion, language, or
and affecting a genome. nationality.
environment 1 ethnicity
The sum of circumstances, objects, and conditions that Common qualities or affiliation with large groups of
surround an individual. The aggregate of social, cultural, people classed according to common racial, national,
and physical environmental conditions that influence the tribal, religious, linguistic, or cultural origin or back-
life of an individual or community. For the gene, the ground.
environment encompasses all conditions external to the
gene, including the influence of other genes. etiology 5
The pathway from initial cause to effects; the study of the
environmentability 3 origins of a phenomenon such as a disorder or behavioral
The phenotypic variation in a population that is due to trait.
environmental variation.
eugenics 6
enzymes 2 Philosophy and practice based on the belief that infor-
Proteins that facilitate a biochemical reaction, usually mation about heredity can and should be used to
speeding it up. Enzymes are essential for all forms of life. improve the human race.

Glossary 03/08/2004 9:58 AM Page 123
evolution 2 gene/environment interaction 3

The process by which forms of life change over time A situation in which the effect of a gene or genes
because of variations in the DNA so that descendants depends on the type of environment to which it is
differ from their predecessors. exposed, or in which the effect of an environment
depends on the presence of particular genes.
factor analysis 7
Statistical methods that are used to reduce a large set of gene frequencies 4
variables to the smallest number of factors that can The frequency of a particular allele at a locus in different
account for individual differences in a trait. population groups.
family study 4 general cognitive ability (g) 6

A type of research focusing on the phenotypic resem- A basic, core ability to make use of information.
blance between genetically related members of a family. g is theorized to exist based on the observation that an
Through family studies, researchers estimate the extent individual’s scores on different types of intelligence tests
to which resemblance is due to genetic or environmental tend to correlate positively. A synonym is general intelli-
factors. gence factor.
first-degree relative 4 genes 1

Parent, sibling, or child. The hereditary units of life in chromosomes. Genes
contain unique segments of DNA that provide the com-
fragile X syndrome 5 plete instructions for making the many proteins that are
The most commonly inherited form of mental needed to create a unique individual.
retardation, which occurs in persons who have a gap
(a “fragile site”) on their X chromosome. gene therapy 5
An experimental procedure used to correct the harmful
free will 6 effects of a gene, sometimes by inserting a normal gene.
The ability to make choices without undue influences
present. genetic determinism 2
The view that the development of an organism is
gamete 2 determined solely by genetic factors. This view is not
A sperm or egg cell, involved in reproduction. supported by science.
gene/environment correlation 3 genetic drift 2

When individuals with a genetic propensity for a trait are The change in allele frequencies within a species popu-
in environments, or choose environments, that support lation over time due to chance.
expression of the trait.
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genetic heterogeneity 5 heterozygous 2

When a trait or disorder can result from a mutated allele Having two alleles of a gene at a specific locus that are
at any one of two or more loci. Also, when a trait or different.
disorder can result from different mutations at the same
locus (a synonym for this second definition is “allelic homozygous 2
heterogeneity”). The term also is used to describe a pop- Having two alleles of a gene at a specific locus that are
ulation for which there are substantial differences among identical.
members with regard to their DNA sequences.
hormone 1
genetic marker 4 A blood-borne substance produced by glands that affects
A DNA sequence at a known chromosomal site that the metabolism or activity of certain other cells.
shows variation in a population and is used in an associ-
ation or linkage study. Human Genome Project 2
An international scientific collaboration that has resulted
genome 2 in the essentially complete sequencing (determining the
All the genetic material in the chromosome needed to order of all the bases) of the genome of humans and
create and maintain an organism. several other organisms.
genotype 2 Huntington’s disease 2

Genetic makeup of an individual, or the combination of A medical disorder resulting in progressive loss of cells in
alleles relevant for a specific trait. areas of the brain. It is caused by DNA changes on
Chromosome 4. The disease typically appears in adult-
geotaxis 4 hood and leads to premature death.
The tendency to move with or against gravity.
imprinting 2
heredity 1 When an allele is expressed differently depending on
The sum of the qualities and potentialities genetically whether it has been inherited from the mother (maternal
derived from one's ancestors, or the transmission of such imprinting) or the father (paternal imprinting).
qualities.
impulsive behavior 4
heritability 3 An act performed in response to a stimulus without
A term that describes the proportion of phenotypic vari- delay, reflection, voluntary direction, or obvious control.
ation among individuals in a specific population that can
be attributed to genetic effects. Heritability is a charac- impulsivity 6
teristic of a population, not of an individual, and is an The tendency to act without premeditation and fore-
estimate of the relative importance of genetic influences thought.
on a trait (as opposed to environmental influences).

Glossary 03/08/2004 9:58 AM Page 125
inbred strain 4 knockout study 4

A population of a species in which all of its members are A study of organisms (such as mice) whose genomes
genetically alike. Inbred strains can be created by have been artificially manipulated to inactivate a
breeding siblings together over many generations until particular gene. Any function that is subsequently altered
they are virtually alike genetically. This also can be usually may be assigned to the knocked-out gene.
accomplished through cloning.
linkage analysis 4
injustice 6 A procedure for determining the frequency with which
Wrongful act or omission that denies an individual or two or more different genes are inherited together due to
group the benefits to which they have a rightful claim, or their proximity on a chromosome. This procedure
failure to distribute burdens in a fair manner. is used to narrow down the location of a gene that
contributes to a particular trait.
insanity 6
A legal term indicating that a person committing a crim- lobotomy 6
inal act is unaware (due to a mental disorder) that the act A surgical procedure in which an incision is made in the
is illegal. brain to reduce the transmission of nerve messages from
one part of the brain to another and thus alter behavior.
intelligence 1
The ability to learn or understand, to deal with new or locus 2
trying situations, or to use reason skillfully. Abilities asso- The position in a chromosome of a particular gene or
ciated with intelligence, such as application of knowl- allele.
edge to manipulate one’s environment or thinking
abstractly, are often measured by “objective” criteria lod score 4
(such as tests). The calculation of likelihood that a gene involved in one
trait is close by on the same chromosome to a gene
in vitro fertilization 7 involved in another trait. Lod stands for “logarithm of
The mixing of eggs with sperm in a laboratory dish in the odds” or “likelihood of odds.” A lod score above 3
order to achieve conception. “In vitro” means “in glass.” indicates a likelihood by chance of 1/1000 and usually is
considered “significant.”
IQ (intelligence quotient) tests 3
Assessments that require the completion of tasks major gene 4
designed to measure the trait of intelligence. Test scores A gene for which allelic variations by themselves (apart
are divided by chronological age to assign a numerical from other genes and/or environmental influences) may
value (IQ) to the test-taker. be sufficient to trigger significant and easily observable
differences in a trait.
GLOSSARY/INDEX 125
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manic-depressive illness 5 molecular research 4

See bipolar disorder. Studies at the biochemical level. In behavioral genetics,
molecular research is typically directed at DNA and
Mendelian 5 proteins and their interactions. For example, a molecular
Based on the inheritance theories of Gregor Mendel, researcher may compare sections of the DNA sequences
who discovered that certain simple traits are passed from multiple subjects and/or compare subjects’
from generation to generation in dominant and reces- genotypes with observations of their phenotypes.
sive patterns.
MZ (monozygotic) 4
mental illness 1 Resulting from a single early embryo that splits to create
Refers collectively to diagnosable disorders of the brain. two embryos (identical twins).
Mental disorders are characterized by abnormalities in
cognition, emotion, or mood, or the highest integrative model fitting 4
aspects of behavior, such as social interactions or plan- An analytic process in which several mathematical
ning of future activities. models estimating the relative contributions of genetic
and environmental factors to a trait are proposed.
meta-analysis 4 The models are compared, using standard statistical
The pooling together of data from multiple independent methods, to find the one that best explains the data.
studies in order to draw more broadly based findings.
mood disorders 1
microarray analysis 4 Emotional behavior inappropriate for one’s age or
A technique to scan the activity of thousands of genes circumstances, characterized by, for example, unusual
simultaneously. excitability or loss of energy, guilt, anxiety, or hostility.
microdeletion 5 multigenic 5
A short sequence of an individual’s DNA that is missing. Resulting from the expression of many different genes.
A synonym of polygenic.
modifier gene 3
A gene that affects another gene, thereby altering the multifactorial 5
latter gene’s effect on the phenotype. Resulting from the expression of many different genes
and the influence of many environmental factors.
multiple intelligences 6
The view that humans have several distinct kinds of
abilities that enable them to solve problems; for example,
linguistic ability, logical-mathematical ability, and more.

Glossary 03/08/2004 9:58 AM Page 127
multiple locus gene of small effect 4 nonadditive 2

A gene whose alleles, operating in synchrony with alleles When an allele’s contribution to the variation in a phe-
of other genes, contribute to variation in a trait. notype is affected by the presence of other alleles at the
same locus or at a different loci. Antonym of additive.
mutation 2
A change, deletion, or rearrangement in an organism’s nonshared environment 3
DNA sequence when the mutation occurs in a gene, the Environmental factors that contribute to differences
protein-encoding message of that gene may be altered. among family members. Antonym of shared environ-
ment.
natural selection 2
The process by which members of a species have traits norm of reaction 6
that enable them to take better advantage of their envi- The variety of phenotypes that result from a given
ronment. Those with the advantageous traits leave more genotype in each possible environment.
descendents for the next generation, so the trait itself
may become more prevalent in the species. normal 5
Conforming to an expected, typical, or healthy behavior,
nature v. nurture 3 pattern, or type. Antonym of pathological.
The controversy over whether genetic inheritance (our
innate nature) or environment (upbringing) determines normal curve of distribution 6
behavior. Since both nature and nurture undoubtedly Scores for a trait value that cluster around the middle of
contribute to behavior, this ‘either-or’ thinking is not an the distribution and are less frequent as the extremes are
accepted dichotomy by scientists. approached. This creates a “bell curve” when plotted on
a graph. Most behavioral phenotypes show a normal
negative eugenics 7 curve of distribution.
Practices (including, but not limited to, sterilization,
incarceration, and killing) to discourage reproduction by novelty seeking 6
persons whose characteristics are not desired in the next The tendency to seek out and enjoy novel, and some-
generation. Compare to positive eugenics. times risky, experiences.
nervous system 2 nucleotide 2

The brain, spine, and network of nerves. Information is A building block of DNA and RNA.
communicated throughout the body via electrical and
chemical transmission along the nervous system. pathological 5
Not conforming to an expected, typical, or healthy
neurotransmitter 6 behavior, pattern, or type. Also, compulsive or diseased.
A chemical released by nerve endings to carry messages Antonym of normal.
between nerve cells.
GLOSSARY/INDEX 127
Glossary 03/08/2004 9:58 AM Page 128
pedigree 4 eugenics.
A family tree that indicates those who show a particular
health or behavioral condition. pre-implantation diagnosis and selection 6
A medical procedure by which the DNA of embryos
phenotype 2 created through in vitro fertilization is analyzed for one
The visible properties of an organism that are produced or more disorders and/or traits; those without mutant
by the interaction of the genotype and the environment; alleles can be selected for implantation.
also, any one trait or any group of traits.
prenatal diagnosis 6
PKU (phenylketonuria) 3 A medical procedure to determine the prospective health
A medical disorder that, if untreated, often results in of a baby before it is born.
severe mental retardation. The body does not produce
enough of a particular enzyme, leading to an excess of a proband 4
compound that damages the brain. The person that is the first subject to be identified in a
study.
pleiotropy 2
The ability of a gene to have multiple phenotypic effects, protein 2
such as simultaneous effects on hair color, brain function, Substances that consist of amino-acid residues joined by
and motor control. peptide bonds. Many essential biological compounds
such as enzymes, hormones, or immunoglobulins are
polygenic 5 proteins.
Resulting from the expression of many different genes.
A synonym of multigenic. QTL (quantitative trait locus) 2
One locus (gene) among many in the genome that affects
polypeptide chain 2 a continuous trait.
A series of hundreds or thousands of amino acids linked
together. Proteins are formed when polypeptide chains QTL analysis 4
(and sometimes shorter “peptide chains”) join together A type of molecular research that seeks the locations of
into a three-dimensional structure. the many genes whose alleles contribute to a variable
trait.
population genetics 7
The study of those forces that affect gene frequencies.
positive eugenics 7
Practices (such as propaganda campaigns and rewards) to
encourage reproduction by persons whose characteristics
are desired in the next generation. Compare to negative

Glossary 03/08/2004 9:58 AM Page 129
quantitative genetic trait 2 responsibility 6

A trait for which the observable phenotype associated The term has several meanings. To be “causally respon-
with an underlying genotype varies across a population sible” is to cause something to happen, either directly or
by measurable quantities or degrees, for example, height. indirectly. To be “legally responsible” is to be held
accountable under the law and be subject to legal conse-
quantitative research 4 quences for one's actions. To be “morally responsible” is
Studies of traits that vary quantitatively (that vary by to have a moral obligation, for which the fulfillment or
degree in individuals in a population). Such studies are failure to fulfill is deserving of praise or blame. In both
done by observing the phenotypes of subjects. morality and law, one’s responsibility is judged in the
context of the ability to understand the nature and con-
race 7 sequences of one's actions and to control one's behavior.
A classification of people on the basis of their pheno-
typic characteristics that are presumed to be inherit- RNA (ribonucleic acid) 2
able. The notion of race as based on specific biological A single-stranded nucleic acid that plays a central role in
traits is not embraced by most scientists; however, protein synthesis and gene regulation. RNA contains
race as a social variable is viewed as a topic meriting ribose, in contrast to the deoxyribose in DNA.
scientific investigation.
schizophrenia 1
reaction range 6 A mental disorder characterized by disturbances in
See norm of reaction. thought, personality, conscious awareness, sensation,
and behavior.
recessive disorder 5
A disorder that can occur only when both alleles at second-degree relative 4
a locus are mutations that do not properly encode for Aunt, uncle, grandchild, grandparent, niece, or nephew.
protein. Contrast with dominant disorder.
shared environment 3
recombination 4 Environmental factors that contribute to similarities
When a section of one chromosome switches places with among family members. Antonym of nonshared environ-
the same section from the other chromosome of a pair or ment.
with a section from another chromosome.
sickle cell disease 6
replication 5 A disorder in which red blood cells take on an unusual
A scientific research study that repeats or is very similar shape, leading to other blood and circulation problems.
to an earlier study in order to confirm or disconfirm the
earlier findings.
GLOSSARY/INDEX 129
Glossary 03/08/2004 9:58 AM Page 130
SNP (single nucleotide polymorphism) 4 whole genome scan 4

A single bit of DNA in a genome’s sequence that varies The search of a subject’s entire genome that uses many
among members of a species. Each bit is one base genetic markers selected to sample segments of all the
(nucleotide): either adenine (A), cytosine (C), thymine chromosomes. The markers may be segments of DNA
(T) or guanine (G). and/or SNPs.
stem cell 4 X-linked disorder or trait 5

An undifferentiated cell. Those found in early embryos A phenotype that results in part or whole from alleles at
can mature into many different cell types, such as blood, a locus on the X (sex) chromosome.
bone, or neurons.
susceptibility gene 5
A gene whose alleles may increase or decrease one’s
probability of having or acquiring a trait or disorder.
tandem repeats 5
Multiple copies of the same base sequence that appear
one after another in the genome.
thalassemia 6
A blood disease, occurring chiefly among people of
Mediterranean descent, characterized by the production
of abnormal hemoglobin. The word means “anemia of
the sea.”
twin study 4
A type of research in which the subjects are pairs of
twins, identical or fraternal or both. In the study, each
twin is identified as having or not having the trait/
disorder under study; this information is used to establish
a concordance rate for the trait. Often in such a study,
concordance rates for fraternal and identical twins are
obtained and compared.
violence 6
Rough, injurious or abusive physical force, action, or
treatment, or an instance of such behavior.

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A A A S / H A S T I N G S C E N T E R B E H AV I O R A L G E N E T I C S P RO J E C T
Project Working Group Members
V. Elving Anderson, Ph.D., Professor Emeritus, Irving Gottesman, Ph.D., Sherrell J. Aston
Genetics and Cell Biology, University of Professor of Psychology Emeritus, University
Minnesota, Minneapolis, MN of Virginia, Charlottesville, VA, and Bernstein
Professor in Adult Psychiatry, University of
Catherine Baker, M.A., Plain Language Minnesota Medical School, Minneapolis, MN
Communications, Bethesda, MD
Gregory Kaebnick, Ph.D., Editor, Hastings Center
Jonathan Beckwith, Ph.D., American Cancer Report and Associate for Philosophical
Society Professor of Microbiology & Molecular Studies, The Hastings Center, Garrison, NY
Genetics, Department of Microbiology &
Molecular Genetics, Harvard Medical School, Patricia King, J.D., Carmack Waterhouse Professor
Boston, MA of Law, Medicine, Ethics and Public Policy,
The Law Center, Georgetown University,
Dan W. Brock, Ph.D., Professor of Social Medicine Washington, DC
and Director, Division of Medical Ethics,
Harvard Medical School, MA Yvette Miller, M.D., Medical Director,
American Red Cross, Tucson, AZ
Audrey Chapman, Ph.D., Director, Science
and Human Rights Program, American Thomas H. Murray, Ph.D., President,
Association for the Advancement of Science, The Hastings Center, Garrison, NY
Washington, DC
Erik Parens, Ph.D., Associate for Philosophical
Troy Duster, Ph.D., Director, Institute for the Studies, The Hastings Center, Garrison, NY
Study of Social Change, University of
California, Berkeley, CA Karen Porter, J.D., Scarsdale, NY
Harold Edgar, LL.B., Julius Silver Professor of Law, Nancy Press, Ph.D., Associate Professor,
Science & Technology, Columbia Law School, Department of Public Health and Preventative
New York, NY Medicine, Oregon Health Sciences University,
Portland, OR
Lee Ehrman, Ph.D., Distinguished Professor of
Biology, Division of Natural Sciences, Biology Kenneth F. Schaffner, M.D., Ph.D., University
Program, State University of New York— Professor of Medical Humanities, George
Purchase, Purchase, NY Washington University, Washington, DC
Leonard Fleck, Ph.D., Professor, Center for Ethics Robert Wachbroit, Ph.D., Research Scholar,
& Humanities, Michigan State University, Institute for Philosophy & Public Policy,
East Lansing, MI University of Maryland,College Park, MD
Mark S. Frankel, Ph.D., Director, Scientific Rick Weiss, M.A., Science Writer,
Freedom, Responsibility and Law Program, Washington Post, Washington, DC
American Association for the Advancement
of Science, Washington, DC
PROJECT WORKING GROUP MEMBERS 131

The Author This book is one of several resources resulting from
Catherine Baker heads Plain Language Communica-
tions, a writing and editorial service in Bethesda, a project on behavioral genetics conducted by the
Maryland. She has written or helped produce numerous
easy-to-read materials in the fields of science, educa- American Association for the Advancement of Science
tion, health, consumer education, and the arts, and also
is a workshop trainer on plain language. Her publica-
tions include Your Genes, Your Choices: Exploring the
(AAAS) and The Hastings Center. It is an introduction
Issues Raised by Genetic Research; Just Say It! How to
Write for Readers Who Don’t Read Well; and a textbook for non-scientists to the science of behavioral genetics
used in college introductory writing courses.
and its broader ethical and social implications.
Among the issues covered are how behavioral genetics
challenges our understanding of human nature,
personal responsibility, and equality.
The American Association for the Advancement of

Science (AAAS), was founded in 1848 and is today the
world’s largest general science and engineering organi- Each chapter begins with a fictional, yet plausible,
zation, with nearly 140,000 individual and institutional
members, and 272 affiliated organizations in more than vignette about an individual seeking answers to a
130 countries. It is the publisher of the weekly journal,
Science. question about behavior. The text then provides
The AAAS Scientific Freedom, Responsibility and Law
enough scientific background for the reader to
Program (SFRL) focuses on the ethical, legal, and social
issues associated with the conduct of research and with
advances in science and technology.
address the question thoughtfully. A glossary indexed
AAAS according to the chapters explains key words and

1200 New York Avenue, NW
Washington DC 20005 USA concepts. For more information about the larger
202-326-6400 project, visit the project’s website at
www.aaas.org
http://www.aaas.org/spp/bgenes.

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Behavioral Genetics

An introduction to how genes and environments

A tool to inform public discussion of

Prepared for a project conducted by the

Printed in the United States of America Additional copies of this report

1. What is behavioral genetics? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2. How do genes work within their environments? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

3. How do environments impinge upon genes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

TABLE OF CONTENTS III

7. How is intellect molded by genes and environments? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Project Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

Erik Parens Mark S. Frankel Audrey R. Chapman

VIII BEHAVIORAL GENETICS

■ ■ ■ Margaret, an ambitious mother

CHAPTER 1: WHAT IS BEHAVIORAL GENETICS? 3

CHAPTER 1: WHAT IS BEHAVIORAL GENETICS? 5

RESOURCES FOR CHAPTER 1

“Tiger Woods.” 2001. (Accessed 3 October); available from

CHAPTER 1: WHAT IS BEHAVIORAL GENETICS? 7

■ ■ ■ Hoda, a perplexed nurse

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 11

Variety within the

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 13

Image: ©2002, Cold Spring Harbor Laboratory. All rights reserved.

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 15

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 17

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 19

behavior. Hoda, in her years of working

CHAPTER 2: HOW DO GENES WORK WITHIN THEIR ENVIRONMENTS? 21

■ ■ ■ Skip, a regretful man

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 27

tion remains, performance across the

People who have a particular

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 29

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 31

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 33

Scientists believe that a

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 35

CHAPTER 3: HOW DO ENVIRONMENTS IMPINGE UPON GENES? 37

■ ■ ■ Anja, an identical twin

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 41

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 43

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 45

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 47

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 49

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 51

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 53

total variation. behavior can you get from behavior

What genes affect the ability

■ Do the molecular studies find false

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 55

advances in microarray technology have 4 See Toma, D. P. et al. (2002).

ously; over time this should improve the 8 Beckwith, J. (forthcoming).

CHAPTER 4: HOW IS GENETIC RESEARCH ON BEHAVIOR CONDUCTED? 57

■ ■ ■ Lamar, a man with bad news

One gene misfiring is sufficient to Chromosome 12 Chromosome 4 Chromosome 7

they do not have a second X with a Fragile X syndrome can result

normal allele to compensate for the defi- in mild learning disabilities or

the speed of decline correlate positively Polygenic disorders: