General Biology
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- Chapter 1: The Chemistry of Life and Biological Macromolecules
- Chapter 2: Cell Structure, Membranes and Transport
- Chapter 3: Energy, Enzymes, Cellular Respiration and Photosynthesis
- Chapter 4: Cell Communication and Cell Division
- Chapter 5: Mendelian Genetics and the Chromosomal Basis of Inheritance
- Chapter 6: DNA Structure, Replication and Gene Expression
- Chapter 7: Gene Regulation and Biotechnology
- Chapter 8: Evolution, Natural Selection and Population Genetics
- Chapter 9: Speciation, Phylogeny and the History of Life
- Chapter 10: Bacteria, Archaea, Viruses, Protists and Fungi
- Chapter 11: Plants: Diversity, Structure, Transport and Reproduction
- Chapter 12: Animal Diversity
- Chapter 13: Animal Form, Function, Homeostasis, Reproduction and Development
- Chapter 14: Ecology: Populations, Communities, Ecosystems and Conservation
The Chemistry of Life and Biological Macromolecules
Every living thing, from a soil bacterium to a redwood to you, is a chemical system that obeys the same rules as a beaker of salt water. The difference is organization: a small set of elements, held together by a handful of bond types and dissolved in water, assembles into the four great families of large molecules that store energy, build structures, speed reactions and carry hereditary information. Master this chemistry now and almost every later topic in biology, from enzymes to genetics to ecology, becomes a matter of applying ideas you already own.
By the end of this chapter you can
- Describe the structure of an atom, explain isotopes and relate electron arrangement to how atoms bond.
- Distinguish covalent (nonpolar and polar), ionic and hydrogen bonds and van der Waals interactions, and rank them by strength.
- Explain how the polarity of water produces cohesion, high specific heat, evaporative cooling, the low density of ice and its power as a solvent, and use the pH scale and buffers.
- Explain why carbon is the backbone of biological molecules, recognize the major functional groups and distinguish structural isomers, cis trans isomers and enantiomers.
- Describe dehydration synthesis and hydrolysis, and compare monosaccharides, disaccharides and the storage and structural polysaccharides.
- Compare triglycerides, phospholipids and steroids, and explain the difference between saturated, unsaturated and trans fats.
- Classify amino acids by their side chains, describe the peptide bond and explain the four levels of protein structure, folding, chaperones and denaturation.
- Describe the structure of nucleotides, DNA and RNA, including base pairing and antiparallel strands, and outline the central dogma.
Section 1Atoms, bonds and the properties of water
Matter, elements and the atom
Matter is anything that takes up space and has mass. All matter is made of elements, substances that cannot be broken down into other substances by ordinary chemical reactions. About 92 elements occur naturally, yet only four, oxygen, carbon, hydrogen and nitrogen, make up about 96 percent of the mass of the human body. Calcium, phosphorus, potassium, sulfur, sodium, chlorine and magnesium account for most of the remaining 4 percent. Trace elements such as iron, iodine, zinc and copper are needed only in tiny amounts, but they are essential: iodine is built into thyroid hormone, and iron sits at the center of the heme group that carries oxygen in hemoglobin. A compound is a substance made of two or more elements in a fixed ratio, and it usually has properties quite unlike its parts. Sodium is an explosive metal and chlorine a poisonous gas, but sodium chloride is table salt.
The smallest unit of an element that keeps its chemical properties is the atom. Atoms have a dense central nucleus holding positively charged protons and uncharged neutrons, surrounded by a cloud of negatively charged electrons. Protons and neutrons each have a mass of about 1 dalton (1 atomic mass unit); an electron has about 1/1,840 of that mass, so electrons contribute almost nothing to mass but nearly everything to chemistry.
- The atomic number is the number of protons. It defines the element: every carbon atom has 6 protons.
- The mass number is protons plus neutrons. Common carbon has 6 protons and 6 neutrons, mass number 12.
- In a neutral atom, the number of electrons equals the number of protons.
Isotopes and radioactivity
Atoms of one element can differ in their number of neutrons. These forms are isotopes. Carbon-12 is about 99 percent of natural carbon, carbon-13 about 1 percent, and carbon-14 is present in trace amounts. Isotopes of an element behave almost identically in chemical reactions because chemistry depends on electrons, not neutrons. Some isotopes have unstable nuclei that decay spontaneously, giving off particles and energy; these are radioactive isotopes. Each decays at a fixed rate measured as a half-life, the time for half of a sample to decay. Carbon-14 has a half-life of about 5,730 years, which makes it useful for dating organic remains up to roughly 50,000 years old. In research, radioactive tracers let biologists follow atoms through metabolic pathways, as in the classic experiments that traced carbon through photosynthesis and showed that DNA, not protein, enters bacteria during viral infection.
Electrons, shells and valence
Electrons occupy energy levels, often drawn as shells around the nucleus. The first shell holds up to 2 electrons; the second and third each hold up to 8 for the elements that matter most in biology. The electrons in the outermost occupied shell are valence electrons, and they determine how an atom reacts. Atoms are most stable when their valence shell is full. Helium, neon and argon already have full shells and are inert. Other atoms reach stability by sharing, gaining or losing electrons. The number of unpaired valence electrons an atom usually shares gives its valence, the number of covalent bonds it typically forms: hydrogen 1, oxygen 2, nitrogen 3 and carbon 4. Remembering "HONC 1234" lets you check almost any biological structure for a missing or extra bond.
Covalent bonds and electronegativity
A covalent bond is a shared pair of valence electrons. Two hydrogen atoms share one pair to form H2 (a single bond); two oxygen atoms share two pairs to form O2 (a double bond). A molecule is two or more atoms held together by covalent bonds. Covalent bonds are strong, and the bonds within biological molecules do not break at body temperature without the help of enzymes.
Atoms differ in how strongly they pull shared electrons toward themselves, a property called electronegativity. Oxygen and nitrogen are highly electronegative; carbon and hydrogen are similar to each other and much less so. When two atoms of similar electronegativity share electrons, the sharing is equal and the bond is nonpolar covalent (C to C, C to H). When one atom is much more electronegative, the electrons spend more time near it, giving it a partial negative charge (written δ−) and leaving the other atom with a partial positive charge (δ+). Such a bond is polar covalent (O to H, N to H). The polarity of the O to H bonds in water is the single fact that explains most of what makes water special.
Ionic bonds, hydrogen bonds and weak interactions
When the difference in electronegativity is very large, one atom strips an electron from the other. Sodium gives up its single valence electron to chlorine; sodium becomes a cation (Na+) and chlorine an anion (Cl−). The attraction between oppositely charged ions is an ionic bond. Ionic compounds such as NaCl form crystals when dry, but in water the ions separate and are surrounded by water molecules, so ionic bonds are weak in the watery interior of a cell.
A hydrogen bond forms when a hydrogen atom that is covalently bonded to an electronegative atom (O or N) is attracted to another electronegative atom nearby. A hydrogen bond is about 5 to 10 percent as strong as a covalent bond, but biology runs on huge numbers of them. They hold the two strands of DNA together, shape proteins, and link water molecules into a constantly shifting network. Their weakness is a feature: hydrogen bonds can form and break quickly, letting DNA unzip for copying and enzymes bind and release substrates.
Van der Waals interactions are even weaker attractions that arise because electrons are always moving, creating fleeting regions of slight charge on any molecule. They matter only when molecules fit very closely, but many together are significant. Geckos cling to glass largely through van der Waals forces between millions of tiny hairs on their toes and the surface. The hydrophobic effect, the tendency of nonpolar molecules to cluster together in water, is not really a bond at all; it results from water molecules hydrogen bonding with each other and excluding the nonpolar substances. It is one of the main forces that folds proteins and builds membranes.
| Interaction | What is shared or attracted | Relative strength | Biological example |
|---|---|---|---|
| Nonpolar covalent bond | Electron pair shared equally | Strong | C to H bonds in fats; C to C backbone |
| Polar covalent bond | Electron pair shared unequally | Strong | O to H bonds in water and sugars |
| Ionic bond | Attraction of full opposite charges | Strong when dry, weak in water | NaCl crystal; salt bridges in proteins |
| Hydrogen bond | H on O or N attracted to another O or N | Weak (about 5 to 10% of covalent) | Water network; DNA base pairs; alpha helix |
| Van der Waals interaction | Transient charge fluctuations | Weakest, significant in large numbers | Gecko feet; packing of fatty acid tails |
| Hydrophobic effect | Nonpolar groups excluded by water | Collective, not a true bond | Protein core; lipid bilayer |
Molecular shape follows from bonding. When an atom forms covalent bonds, its valence orbitals rearrange into a geometry: carbon with four single bonds is tetrahedral, with bond angles of about 109.5 degrees, and water is bent, with an angle of about 104.5 degrees. Shape matters because molecules recognize each other by fit. Morphine and the body's own endorphins have similar shapes, which is why both bind the same opioid receptors in the brain.
Chemical reactions
A chemical reaction makes and breaks bonds, converting reactants into products. Matter is conserved: the same atoms appear on both sides of a balanced equation. Photosynthesis, for example, can be summarized as 6 CO2 + 6 H2O → C6H12O6 + 6 O2. Many reactions are reversible, and they proceed until the forward and reverse rates are equal, a state called chemical equilibrium. At equilibrium the concentrations stop changing, but they are not necessarily equal. Adding reactant or removing product pushes the reaction forward, an idea you will use often when you study metabolism.
Water: a polar molecule
Water (H2O) is bent, with oxygen at the vertex. Oxygen pulls the shared electrons toward itself, so the oxygen end carries a partial negative charge and each hydrogen a partial positive charge. Because of this polarity, each water molecule can hydrogen bond with up to four neighbors. In liquid water these hydrogen bonds last only trillionths of a second, constantly breaking and reforming, but at any moment most molecules are hydrogen bonded to several others. Four emergent properties follow, and each is essential for life.
Four emergent properties of water
1. Cohesion and adhesion. Hydrogen bonds hold water molecules to each other, a property called cohesion. Cohesion gives water a high surface tension, which lets a water strider walk across a pond. Adhesion is the attraction of water to other polar surfaces. In plants, cohesion holds the column of water together inside the narrow xylem tubes while adhesion to the cell walls resists gravity, so evaporation from leaves can pull water up from the roots of a tree many meters tall.
2. Moderation of temperature. Water has a high specific heat: it takes 1 calorie to raise 1 gram of water by 1 °C, far more than for most substances. The reason is that much of the heat added first goes into breaking hydrogen bonds rather than speeding molecules up. Oceans and lakes therefore warm and cool slowly, stabilizing coastal climates, and the water that makes up 60 percent or more of a body buffers it against rapid temperature swings. Water also has a high heat of vaporization: about 580 calories are needed to evaporate 1 gram at body temperature. Because the fastest, most energetic molecules leave first, the remaining liquid cools. This evaporative cooling is why sweating cools you and why transpiration keeps leaves from overheating in the sun.
3. Floating ice. Most substances are densest as solids, but water is densest at about 4 °C. As water freezes, each molecule locks into hydrogen bonds with four neighbors in an open crystal lattice, so ice is about 10 percent less dense than liquid water and floats. Floating ice insulates the water below. If ice sank, lakes and seas would freeze from the bottom up and much aquatic life could not survive winter.
4. A versatile solvent. A solution is a uniform mixture of a solute dissolved in a solvent; when water is the solvent it is an aqueous solution. Water dissolves ionic compounds by surrounding each ion with a hydration shell, and it dissolves polar molecules such as sugars by hydrogen bonding with their polar groups. Substances that interact readily with water are hydrophilic; nonpolar substances such as oils are hydrophobic. Some hydrophilic substances, such as large proteins, do not truly dissolve but stay suspended as a colloid.
Chemists count molecules by the mole, which is 6.02 × 1023 particles (Avogadro's number). One mole of a substance has a mass in grams equal to its molecular mass in daltons. Glucose (C6H12O6) has a molecular mass of 180 daltons, so 180 grams is 1 mole. A 1 molar (1 M) solution has 1 mole of solute per liter of solution.
Acids, bases and pH
A small fraction of water molecules dissociate: one hydrogen leaves its electron behind and transfers to a neighbor as a proton, producing a hydronium ion (H3O+, usually written H+) and a hydroxide ion (OH−). In pure water at 25 °C, [H+] = [OH−] = 10−7 M, and their product is always 10−14. An acid increases [H+] (hydrochloric acid releases H+ completely); a base decreases it, either by accepting H+ (ammonia) or by releasing OH− (sodium hydroxide).
The pH is the negative base-10 logarithm of the hydrogen ion concentration: pH = −log[H+]. Pure water is pH 7, neutral. Acidic solutions are below 7 and basic (alkaline) ones are above. Because the scale is logarithmic, each unit is a tenfold change: pH 4 has 10 times the H+ of pH 5 and 1,000 times that of pH 7. Most cells keep their interior near pH 7, and human blood is held between 7.35 and 7.45. Stomach fluid is about pH 2, while the small intestine is slightly basic.
Living fluids resist pH change because of buffers, substances that take up H+ when it is in excess and release it when it is scarce. The most important buffer in blood is the carbonic acid and bicarbonate system:
CO2 + H2O ⇌ H2CO3 ⇌ HCO3− + H+
If H+ rises, the reaction shifts left as bicarbonate absorbs it; if H+ falls, carbonic acid dissociates to replace it. The lungs adjust CO2 and the kidneys adjust bicarbonate, giving two levers for long term control.
| Fluid | Approximate pH | Comment |
|---|---|---|
| Gastric juice | 1.5 to 3.5 | HCl secreted by parietal cells; denatures proteins |
| Lemon juice, vinegar | 2 to 3 | Weak organic acids |
| Normal rain | About 5.6 | CO2 dissolves to form carbonic acid |
| Pure water | 7.0 | Neutral: [H+] = [OH−] |
| Human blood | 7.35 to 7.45 | Bicarbonate buffer keeps the range narrow |
| Seawater | About 8.1 | Slowly falling as oceans absorb CO2 |
| Household ammonia | 11 to 12 | A weak base |
Chemistry in cells is the chemistry of valence electrons. Strong covalent bonds build molecules, while weak hydrogen bonds, ionic attractions, van der Waals forces and the hydrophobic effect shape them and let them interact. Water's polarity and hydrogen bonding give it cohesion, a high specific heat, evaporative cooling, floating ice and its power as a solvent, and buffers hold the pH of living fluids within narrow limits.
Section 2Carbon and functional groups
Why carbon?
Apart from water, nearly every molecule in a cell is built on a skeleton of carbon. Compounds containing carbon bonded to hydrogen are called organic compounds; the name dates from a time when chemists thought only living things could make them. In 1828 a chemist synthesized urea from inorganic starting materials, and in 1953 Stanley Miller showed that amino acids form when electric sparks pass through a mixture of simple gases thought to resemble the early atmosphere. These experiments helped replace the idea of a special "vital force" with mechanism: life is built from the same atoms and obeys the same laws as nonliving matter.
Carbon's power comes from its four valence electrons. It forms four covalent bonds, so it can link to four other atoms in different directions. Carbon atoms bond readily to each other, producing chains, branches and rings of almost any length, and they can share one, two or three electron pairs. Each carbon with four single bonds sits at the center of a tetrahedron, giving organic molecules three dimensional shape. When two carbons are joined by a double bond, the atoms attached to them lie in one flat plane and the bond cannot rotate, which locks part of the molecule in place.
Hydrocarbons and carbon skeletons
Hydrocarbons contain only carbon and hydrogen. Their C to H bonds are nonpolar, so hydrocarbons are hydrophobic, and those bonds store a great deal of energy that is released when they are burned or, in cells, oxidized. The fatty acid tails of fats are long hydrocarbon chains, which is why fats are such rich fuel. Carbon skeletons vary in four ways: length, branching, the position of double bonds and the presence of rings.
Isomers
Isomers are compounds with the same molecular formula but different structures, and therefore different properties. There are three kinds that biology students must know:
- Structural isomers differ in the covalent arrangement of their atoms. Glucose and fructose are both C6H12O6, but glucose has an aldehyde group and fructose a ketone.
- Cis trans isomers (geometric isomers) have the same bonds but differ in arrangement around a double bond. In the cis form, the two groups of interest are on the same side; in the trans form, on opposite sides. Retinal, the light-sensing molecule of the eye, switches from cis to trans when it absorbs a photon, and that change in shape starts vision.
- Enantiomers are mirror images that cannot be superimposed, like left and right hands. They arise around an asymmetric carbon, a carbon bonded to four different groups. Cells usually make and use only one enantiomer. Proteins are built from L amino acids, and most natural sugars are D sugars.
The chemical groups most important to life
The carbon skeleton gives a molecule its general shape, but small clusters of atoms attached to it, called functional groups, usually determine its chemical behavior. A functional group behaves much the same way whatever molecule it is on, so learning seven groups lets you predict the properties of thousands of compounds. The male and female sex hormones testosterone and estradiol share the same four-ring steroid skeleton and differ only in a few functional groups, yet they drive very different development.
| Group | Formula | Compound name | Key property | Found in |
|---|---|---|---|---|
| Hydroxyl | −OH | Alcohol | Polar; forms hydrogen bonds, helps dissolve sugars | Sugars, glycerol, ethanol |
| Carbonyl | >C=O | Aldehyde (at chain end) or ketone (within chain) | Polar; defines aldose and ketose sugars | Glucose (aldehyde), fructose (ketone) |
| Carboxyl | −COOH | Carboxylic acid | Acidic; ionizes to −COO− at cell pH | Amino acids, fatty acids, acetic acid |
| Amino | −NH2 | Amine | Basic; picks up H+ to become −NH3+ | Amino acids |
| Sulfhydryl | −SH | Thiol | Two can link as a disulfide bridge (S to S) | Cysteine; keratin of hair |
| Phosphate | −OPO32− | Organic phosphate | Negatively charged; transfers energy | ATP, DNA, RNA, phospholipids |
| Methyl | −CH3 | Methylated compound | Nonpolar; tags molecules | Methylated DNA, testosterone |
At the near-neutral pH of a cell, carboxyl groups usually exist as ionized −COO− and amino groups as −NH3+. A free amino acid in the cytoplasm therefore carries both a positive and a negative charge, which makes it very water soluble. Phosphate groups carry two negative charges when at the end of a molecule, and the repulsion between closely packed phosphates is part of why ATP stores useful energy.
ATP: an important source of energy for cellular processes
Adenosine triphosphate (ATP) consists of the nitrogenous base adenine, the five-carbon sugar ribose and a chain of three phosphate groups. When water breaks the bond to the terminal phosphate (hydrolysis), ATP becomes ADP (adenosine diphosphate) plus inorganic phosphate (Pi), and energy is released. Cells couple this release to work: transferring the phosphate to another molecule changes that molecule's shape or reactivity, driving muscle contraction, active transport and synthesis. Cells regenerate ATP from ADP and Pi using energy from food, a cycle you will follow in detail in the chapter on cellular respiration.
Carbon forms four covalent bonds and links to itself, so it builds the varied chains and rings that form the backbone of every biological molecule. Isomers show that the same atoms in different arrangements make different molecules, and seven functional groups (hydroxyl, carbonyl, carboxyl, amino, sulfhydryl, phosphate and methyl) give those skeletons their chemical personalities.
Section 3Carbohydrates and lipids
Macromolecules, polymers and monomers
Carbohydrates, proteins and nucleic acids are polymers, long molecules built by linking many similar or identical building blocks called monomers. Lipids are large molecules too, but they are not true polymers. Cells use the same two reactions to build and dismantle all polymers. In dehydration synthesis (a condensation reaction), two monomers are joined by a covalent bond and a molecule of water is released: one monomer gives up a hydroxyl and the other a hydrogen. Hydrolysis is the reverse: water is added across the bond, breaking it. Digestion is mostly hydrolysis, as enzymes in your gut break starch, proteins and fats into monomers small enough to absorb. Both reactions are catalyzed by specific enzymes.
Monosaccharides and disaccharides
Carbohydrates include sugars and their polymers, and many have the general formula (CH2O)n. The simplest are monosaccharides, which carry a carbonyl group and several hydroxyl groups. They are classified by the position of the carbonyl, as aldoses (aldehyde, at carbon 1) or ketoses (ketone, inside the chain), and by the number of carbons: trioses (3), pentoses (5) and hexoses (6). Glucose and galactose are aldohexoses that differ only in the arrangement around one asymmetric carbon; fructose is a ketohexose. Ribose and deoxyribose are pentoses found in RNA and DNA. In water, most five and six carbon sugars form rings, because a hydroxyl group reacts with the carbonyl of the same molecule. Ring closure creates a new asymmetric carbon (carbon 1 in glucose) whose hydroxyl can point below the ring (the alpha form) or above it (the beta form). This tiny difference has enormous consequences.
A disaccharide forms when a dehydration reaction joins two monosaccharides by a glycosidic linkage. Maltose is glucose plus glucose (malt sugar, from starch breakdown). Sucrose, table sugar, is glucose plus fructose and is the form in which plants move sugar through their phloem. Lactose, milk sugar, is glucose plus galactose.
Polysaccharides: storage and structure
Polysaccharides are polymers of hundreds to thousands of monosaccharides. Their function depends on which sugar they use and how the units are linked.
- Starch is the main storage polysaccharide of plants, kept in plastids. It is made of alpha glucose. Amylose is unbranched and coils into a helix; amylopectin has branches every 24 to 30 units. Animals, including humans, have enzymes that hydrolyze the alpha linkages of starch.
- Glycogen is the storage polysaccharide of animals, stored mainly in liver and skeletal muscle. It resembles amylopectin but is more highly branched (about every 8 to 12 units), so enzymes can release glucose quickly from many branch tips at once. Your glycogen stores last only about a day without eating.
- Cellulose, the main component of plant cell walls, is the most abundant organic compound on Earth. It is made of beta glucose. Because of the beta linkage, every other glucose is flipped, and the chains stay straight. Parallel cellulose chains hydrogen bond to each other, forming strong microfibrils.
- Chitin forms the exoskeleton of arthropods and the cell walls of fungi. It is like cellulose, but each glucose carries a nitrogen-containing group. Chitin is tough and is also used to make absorbable surgical thread.
The enzymes that digest starch cannot break the beta linkages of cellulose, so for humans cellulose passes through the gut as insoluble fiber, which helps move material through the intestine. Cows, termites and other herbivores digest cellulose only with help from microbes in their gut that make cellulase.
| Polysaccharide | Monomer and linkage | Branching | Where found | Role |
|---|---|---|---|---|
| Amylose (starch) | Alpha glucose, 1-4 | None; helical | Plant plastids | Energy storage |
| Amylopectin (starch) | Alpha glucose, 1-4 with 1-6 branches | Moderate | Plant plastids | Energy storage |
| Glycogen | Alpha glucose, 1-4 with 1-6 branches | Extensive | Animal liver and muscle; fungi | Rapid release energy storage |
| Cellulose | Beta glucose, 1-4 | None; straight cables | Plant cell walls | Structural support |
| Chitin | Beta N-acetylglucosamine, 1-4 | None | Arthropod exoskeleton, fungal walls | Structural support |
Lipids: a diverse hydrophobic group
Lipids are grouped together not by a common monomer but by a shared property: they mix poorly, if at all, with water, because they consist mostly of hydrocarbon regions. The three most important kinds are fats, phospholipids and steroids.
A fat, or triglyceride, is built from one glycerol (a three-carbon alcohol) and three fatty acids. Each fatty acid is a long hydrocarbon chain, usually 16 or 18 carbons, with a carboxyl group at one end. Dehydration reactions link each fatty acid to glycerol by an ester linkage. Fats are excellent energy stores: a gram of fat stores more than twice the energy of a gram of carbohydrate (about 9 versus 4 kilocalories), because fats are rich in energy-storing C to H bonds and are stored without water. Adipose tissue also cushions organs and insulates the body.
A saturated fatty acid has no carbon to carbon double bonds; it holds as many hydrogens as possible and its chain is straight. Straight chains pack tightly, so saturated fats such as butter and lard are solid at room temperature. An unsaturated fatty acid has one or more double bonds, usually in the cis form, which puts a kink in the chain. Kinked chains cannot pack closely, so plant and fish oils stay liquid. Hydrogenation adds hydrogen to unsaturated oils to make them solid, and partial hydrogenation also creates trans fats, which have trans double bonds and straight chains. Trans fats raise LDL cholesterol and the risk of heart disease even more than saturated fats, and many countries have banned or sharply limited them. Omega-3 fatty acids, which have a double bond three carbons from the tail end, are essential fatty acids that the body cannot make.
Phospholipids and steroids
A phospholipid has only two fatty acids attached to glycerol; the third carbon carries a negatively charged phosphate group, usually linked to another small charged or polar molecule such as choline. The result is amphipathic: a hydrophilic head and two hydrophobic tails. In water, phospholipids self-assemble into a bilayer, heads facing the water on both sides and tails tucked inside, away from water. That bilayer is the basic fabric of every cell membrane, as Chapter 2 explains.
Steroids are lipids whose carbon skeleton is four fused rings. Cholesterol is a component of animal cell membranes, where it modulates fluidity, and it is the precursor from which animals make other steroids, including the sex hormones (estrogens, testosterone), the adrenal hormones (cortisol, aldosterone) and vitamin D. High blood levels of cholesterol carried in LDL particles contribute to atherosclerosis. Waxes, made of a fatty acid joined to a long chain alcohol, waterproof leaves, feathers and insect cuticles.
Polymers are built by dehydration synthesis and broken by hydrolysis. Carbohydrates range from simple sugars to the storage polysaccharides starch and glycogen (alpha glucose) and the structural polysaccharides cellulose and chitin (beta linkages). Lipids are hydrophobic: triglycerides store energy, amphipathic phospholipids form bilayers, and steroids such as cholesterol build membranes and hormones.
Section 4Proteins: structure and folding
The many jobs of proteins
Proteins account for more than half the dry mass of most cells, and they do nearly everything. Enzymes are protein catalysts that speed reactions without being used up. Structural proteins (collagen, keratin, silk) give strength; transport proteins (hemoglobin, membrane channels) move substances; contractile proteins (actin, myosin) produce movement; storage proteins (ovalbumin in egg white, casein in milk) hold amino acids; hormones such as insulin carry signals; receptor proteins detect them; and defensive proteins such as antibodies recognize invaders. All of this variety comes from one kind of polymer: a chain of amino acids folded into a specific shape.
Amino acids
An amino acid has a central carbon (the alpha carbon) bonded to four partners: an amino group, a carboxyl group, a hydrogen atom and a variable side chain, or R group. Cells use 20 standard amino acids, and the R group is what makes each one different. Side chains fall into broad classes:
| Class of side chain | Behavior in water | Examples | Typical location in a folded protein |
|---|---|---|---|
| Nonpolar (hydrophobic) | Excluded by water | Glycine, alanine, valine, leucine, isoleucine, methionine, phenylalanine, tryptophan, proline | Buried in the core or inside membranes |
| Polar, uncharged | Hydrogen bond with water | Serine, threonine, cysteine, tyrosine, asparagine, glutamine | Surface, or active sites |
| Acidic (negatively charged) | Carboxyl in R group loses H+ | Aspartate, glutamate | Surface; ionic bonds |
| Basic (positively charged) | Amino group in R group gains H+ | Lysine, arginine, histidine | Surface; binding DNA or acidic partners |
Two amino acids are special. Cysteine has a sulfhydryl group, and two cysteines can form a covalent disulfide bridge. Proline's side chain loops back to bond its own amino nitrogen, making a rigid kink that often breaks helices. Humans can make about 11 of the 20; the other 9 are essential amino acids that must come from the diet.
Peptide bonds and polypeptides
A dehydration reaction joins the carboxyl group of one amino acid to the amino group of the next, forming a peptide bond. A chain of amino acids is a polypeptide. The repeating N to C to C sequence is the backbone, with the R groups sticking out from it. A polypeptide has direction: one end has a free amino group (the N-terminus) and the other a free carboxyl group (the C-terminus), and ribosomes always build chains from N to C. A protein is one or more polypeptides folded into a functional shape. With 20 choices at every position, a chain of just 100 amino acids could have 20100 possible sequences, more than the number of atoms in the observable universe.
Four levels of protein structure
Primary structure is the sequence of amino acids, written from N to C terminus. It is dictated by the gene. Everything else follows from it, because the sequence determines which interactions are possible.
Secondary structure is local coiling or folding stabilized by hydrogen bonds between backbone atoms, specifically between the carbonyl oxygen of one peptide bond and the N to H hydrogen of another. Side chains are not involved. The two main forms are the alpha helix, a coil with a hydrogen bond between every fourth amino acid, and the beta pleated sheet, in which two or more stretches of chain lie side by side, connected by hydrogen bonds. Keratin of hair is mostly alpha helix; spider silk owes its strength to many beta sheets.
Tertiary structure is the overall three dimensional shape of one polypeptide, produced by interactions between R groups. Hydrophobic side chains cluster in the center, away from water (the hydrophobic effect), where van der Waals interactions hold them together. Polar and charged side chains form hydrogen bonds and ionic bonds with each other and with water. Covalent disulfide bridges between cysteines act like rivets that lock the shape.
Quaternary structure exists only in proteins made of more than one polypeptide, and it describes how those subunits fit together. Hemoglobin has four subunits (two alpha and two beta chains), each carrying a heme group; collagen is three helical chains wound into a rope like triple helix.
Sequence, shape and disease
Because shape depends on sequence, even one amino acid change can matter. In sickle cell disease, the sixth amino acid of the hemoglobin beta chain is valine instead of glutamate. Swapping a charged side chain for a hydrophobic one creates a sticky patch on the surface. When oxygen is low, the altered hemoglobin molecules stick together into long fibers that deform red blood cells into a sickle shape. Sickled cells clog small vessels and break down early, causing pain crises and anemia. People who carry one copy of the allele are partly protected from malaria, which explains why the allele is common where malaria is common.
Folding, chaperones and denaturation
A protein's shape is the lowest energy arrangement its sequence allows under cellular conditions, but reaching it is not always easy. Many proteins fold with the help of chaperonins (molecular chaperones), barrel shaped protein complexes that shelter a new polypeptide from the crowded cytoplasm while it folds. Chaperones do not specify the final shape; they prevent wrong interactions along the way.
If the pH, salt concentration or temperature changes enough, the weak bonds holding secondary, tertiary and quaternary structure break, and the protein unravels. This loss of shape is denaturation, and a denatured protein loses its function. The primary structure, held by covalent peptide bonds, survives. Cooking an egg denatures albumin, turning it from clear to white and solid. A high fever is dangerous partly because some proteins begin to denature. In a classic experiment, the enzyme ribonuclease was denatured with chemicals and then, when the chemicals were removed, refolded on its own into its active shape. That result showed that the information for folding lies in the primary structure. Today, computer models trained on known structures can predict how a sequence will fold with remarkable accuracy, though experimental methods such as X-ray crystallography and cryo-electron microscopy remain the gold standard.
Proteins are polymers of 20 amino acids joined by peptide bonds, and their side chains give each one its character. Primary sequence determines secondary structure (backbone hydrogen bonds), tertiary structure (side chain interactions) and, in multi-subunit proteins, quaternary structure. Function depends on that shape, so a single substitution, as in sickle cell disease, or loss of shape by denaturation can destroy function.
Section 5Nucleic acids and the flow of information
Genes and the central dogma
The amino acid sequence of every protein is encoded in a gene, a stretch of deoxyribonucleic acid (DNA). DNA does not build proteins directly. In eukaryotes, it stays in the nucleus, and its information is first copied into messenger RNA (mRNA), a ribonucleic acid, in a process called transcription. The mRNA moves to the cytoplasm, where ribosomes read it and assemble the polypeptide in translation. When a cell divides, its DNA is copied by replication so each daughter cell receives a full set. This flow, DNA to RNA to protein, is the central dogma of molecular biology. There are exceptions: retroviruses such as HIV use the enzyme reverse transcriptase to copy RNA into DNA, and many RNA molecules (ribosomal RNA, transfer RNA, microRNAs) do their jobs without ever being translated.
Nucleotides
Nucleic acids are polymers called polynucleotides, built from monomers called nucleotides. Each nucleotide has three parts: a five-carbon sugar (a pentose), a nitrogenous base and one to three phosphate groups. The sugar plus base, without phosphate, is a nucleoside. The carbons of the sugar are numbered with primes (1′ to 5′) to tell them apart from the atoms of the base. The base attaches to the 1′ carbon and the phosphate to the 5′ carbon.
- The sugar in DNA is deoxyribose, which lacks the oxygen on the 2′ carbon. The sugar in RNA is ribose, which has an OH there. That extra hydroxyl makes RNA more chemically reactive and less stable than DNA, one reason DNA is the long-term storage form.
- The bases come in two families. Pyrimidines have a single six-membered ring: cytosine (C), thymine (T), found only in DNA, and uracil (U), found only in RNA. Purines are larger, with a six-membered ring fused to a five-membered ring: adenine (A) and guanine (G).
The sugar phosphate backbone
Nucleotides are joined by dehydration reactions that link the phosphate on the 5′ carbon of one nucleotide to the hydroxyl on the 3′ carbon of the next. The resulting phosphodiester linkage creates a repeating sugar phosphate backbone with the bases projecting from it. Like a polypeptide, a polynucleotide has direction: one end has a free phosphate on a 5′ carbon (the 5′ end) and the other a free hydroxyl on a 3′ carbon (the 3′ end). Sequences are written 5′ to 3′, and new nucleotides are always added to the 3′ end. The sequence of bases along a gene is unique to that gene and carries its information.
The double helix
RNA usually exists as a single strand, though it can fold back on itself where complementary stretches pair, giving molecules such as transfer RNA a precise three dimensional shape. DNA is a double helix: two polynucleotide strands wound around an imaginary axis, with the backbones on the outside and the bases paired in the interior. Several features are essential:
- The strands are antiparallel: they run in opposite 5′ to 3′ directions, like the lanes of a two-way road.
- Bases pair by hydrogen bonding in a fixed way, called complementary base pairing: A with T (two hydrogen bonds) and G with C (three hydrogen bonds). In RNA, A pairs with U. Each pair joins a purine to a pyrimidine, so the helix has a uniform width of about 2 nanometers.
- Because of pairing, the two strands are complementary: knowing one sequence tells you the other. That is the basis for accurate copying during replication. It also explains Chargaff's rules: in any double-stranded DNA, the amount of A equals T and the amount of G equals C.
- The helix makes one full turn about every 10 base pairs (3.4 nm). Regions rich in G and C, with three hydrogen bonds per pair, are harder to separate than regions rich in A and T.
| Feature | DNA | RNA |
|---|---|---|
| Sugar | Deoxyribose (H at 2′) | Ribose (OH at 2′) |
| Bases | A, G, C, T | A, G, C, U |
| Strands | Usually two, antiparallel double helix | Usually one, often folded on itself |
| Stability | Very stable; long-term storage | Less stable; often short lived |
| Main roles | Stores hereditary information | Carries information (mRNA), builds ribosomes (rRNA), brings amino acids (tRNA), regulates genes, catalyzes some reactions |
| Location in eukaryotes | Nucleus, mitochondria, chloroplasts | Made in the nucleus; works mostly in the cytoplasm |
Other jobs for nucleotides
Nucleotides are not only building blocks. ATP is the cell's energy currency; GTP powers protein synthesis and signaling; cyclic AMP is a second messenger inside cells; and the electron carriers NAD+ and FAD, central to respiration, are nucleotide derivatives. Some RNA molecules, called ribozymes, act as catalysts. The ribosome's peptide-bond-forming center is RNA, a clue that early life may have used RNA for both information and catalysis.
DNA, proteins and evolution
Because genes are passed from parents to offspring, closely related species share more of their DNA and protein sequences than distantly related ones. Comparing sequences, the field of molecular systematics, lets biologists build family trees of life. Human and chimpanzee genomes differ by only about 1 to 2 percent in the stretches that can be aligned. Modern genomics sequences entire genomes quickly and cheaply, and bioinformatics uses computers to store and compare that flood of data, opening approaches to medicine and evolution that were unimaginable a generation ago.
Nucleic acids are polymers of nucleotides (sugar, base, phosphate) joined by phosphodiester linkages into a directional 5′ to 3′ backbone. DNA is a double helix of antiparallel strands held by complementary base pairs (A with T, G with C), which makes faithful copying possible; RNA is usually single stranded and uses ribose and uracil. Information flows from DNA to RNA to protein, linking the chemistry of this chapter to heredity and evolution.
The chapter in one breath
- Four elements (O, C, H, N) make up about 96 percent of living matter; the number of protons defines an element, and isotopes differ in neutrons.
- Valence electrons determine bonding: H forms 1 bond, O 2, N 3 and C 4.
- Covalent bonds share electrons (equally or unequally); ionic bonds join ions; hydrogen bonds, van der Waals forces and the hydrophobic effect are weak but shape and connect molecules.
- Water's polarity and hydrogen bonding give it cohesion, high specific heat, evaporative cooling, less dense ice and broad solvent power.
- pH = −log[H+]; each unit is tenfold, and buffers such as bicarbonate keep blood at 7.35 to 7.45.
- Carbon forms four bonds and versatile skeletons; isomers (structural, cis trans, enantiomers) differ in arrangement and properties.
- Seven functional groups (hydroxyl, carbonyl, carboxyl, amino, sulfhydryl, phosphate, methyl) set chemical behavior; ATP stores energy in its phosphates.
- Polymers are built by dehydration synthesis and broken by hydrolysis.
- Starch and glycogen (alpha glucose) store energy; cellulose and chitin (beta linkages) provide structure.
- Triglycerides store energy, saturated fats lack double bonds, phospholipids are amphipathic and form bilayers, and steroids share a four ring skeleton.
- Proteins are chains of 20 amino acids joined by peptide bonds; primary sequence dictates secondary, tertiary and quaternary structure, and denaturation destroys function.
- DNA is an antiparallel double helix with complementary base pairs; RNA uses ribose and uracil; information flows DNA to RNA to protein.
Words worth knowing
| Term | What it means |
|---|---|
| Atomic number | The number of protons in an atom's nucleus; it identifies the element. |
| Isotope | A form of an element with a different number of neutrons and so a different mass. |
| Valence electrons | Electrons in the outermost shell, which determine how an atom bonds. |
| Electronegativity | An atom's pull on shared electrons; high in oxygen and nitrogen. |
| Polar covalent bond | A covalent bond in which electrons are shared unequally, giving partial charges. |
| Ionic bond | An attraction between ions of opposite charge. |
| Hydrogen bond | A weak attraction between a hydrogen on O or N and another electronegative atom. |
| Hydrophobic effect | The clustering of nonpolar molecules in water because water molecules bond to each other and exclude them. |
| Cohesion | The attraction of water molecules to each other by hydrogen bonds. |
| Specific heat | The heat needed to raise 1 gram of a substance by 1 °C; very high for water. |
| pH | The negative logarithm of hydrogen ion concentration; 7 is neutral. |
| Buffer | A substance that limits pH change by taking up or releasing H+. |
| Isomers | Molecules with the same formula but different structures. |
| Enantiomers | Mirror image isomers around an asymmetric carbon. |
| Functional group | A cluster of atoms attached to a carbon skeleton that gives characteristic chemical behavior. |
| Dehydration synthesis | A reaction that joins monomers by removing a water molecule. |
| Hydrolysis | A reaction that breaks a bond by adding water. |
| Monosaccharide | A simple sugar, the monomer of carbohydrates, such as glucose. |
| Glycosidic linkage | The covalent bond joining two sugars. |
| Glycogen | A highly branched alpha glucose polymer that stores energy in animals. |
| Cellulose | A beta glucose polymer that forms plant cell walls. |
| Triglyceride | A fat made of glycerol and three fatty acids. |
| Saturated fatty acid | A fatty acid with no carbon to carbon double bonds. |
| Phospholipid | An amphipathic lipid with a phosphate head and two fatty acid tails; forms membranes. |
| Steroid | A lipid with four fused carbon rings, such as cholesterol. |
| Peptide bond | The covalent bond joining amino acids in a polypeptide. |
| Alpha helix | A coiled secondary structure held by hydrogen bonds between backbone atoms. |
| Disulfide bridge | A covalent bond between the sulfur atoms of two cysteines. |
| Denaturation | Loss of a protein's shape, and so its function, without breaking peptide bonds. |
| Chaperonin | A protein complex that helps other proteins fold correctly. |
| Nucleotide | A monomer of nucleic acid: pentose sugar, nitrogenous base and phosphate. |
| Purine | A two-ring nitrogenous base: adenine or guanine. |
| Pyrimidine | A one-ring nitrogenous base: cytosine, thymine or uracil. |
| Antiparallel | Running in opposite 5′ to 3′ directions, as the two strands of DNA do. |
| Central dogma | The flow of genetic information from DNA to RNA to protein. |
Check yourself
Cell Structure, Membranes and Transport
The cell is the smallest unit that is alive. A single bacterium can sense its surroundings, take in food, release waste and copy itself, and every organ of your body is an organized community of trillions of cells doing the same jobs in specialized ways. This chapter tours the cell from the outside in: how we see cells at all, how simple and complex cells differ, what each internal compartment does, how the cell holds its shape and attaches to its neighbors, and how its membrane decides what comes in and what goes out.
By the end of this chapter you can
- Compare light and electron microscopes in terms of magnification, resolution and contrast, and state the three parts of the cell theory.
- Explain why cells are small using the surface area to volume ratio.
- Contrast prokaryotic and eukaryotic cells, and compare animal and plant cells.
- Describe the nucleus, ribosomes and the endomembrane system, and trace a secreted protein from gene to cell surface.
- Explain the structure and function of mitochondria and chloroplasts and the evidence for endosymbiosis.
- Compare microtubules, microfilaments and intermediate filaments, and describe cilia, flagella and motor proteins.
- Describe the extracellular matrix, plant cell walls and the cell junctions of plants and animals.
- Describe the fluid mosaic model and predict the movement of water by osmosis in hypotonic, isotonic and hypertonic solutions.
- Distinguish simple diffusion, facilitated diffusion, primary and secondary active transport, and endocytosis and exocytosis.
Section 1Microscopy and the cell theory
Seeing the invisible
Most cells are between 1 and 100 micrometers (µm) across, far below the roughly 0.1 millimeter limit of the unaided human eye. Cell biology therefore began with lenses. In 1665 Robert Hooke looked at thin slices of cork and named the tiny boxes he saw "cells"; they were the empty walls of dead plant cells. A few years later Antoni van Leeuwenhoek, grinding his own small, powerful lenses, became the first to see living single-celled organisms, which he called "animalcules," in pond water, and bacteria scraped from his own teeth.
Three parameters describe any microscope:
- Magnification is the ratio of the image size to the real size of the object.
- Resolution is the minimum distance two points can be apart and still be seen as separate. It measures clarity. Magnifying beyond the resolution limit just enlarges a blur.
- Contrast is the difference in brightness between parts of the sample. Most cells are nearly transparent, so contrast is often enhanced with stains or optical tricks.
Resolution is limited by the wavelength of what is used to form the image. Visible light has wavelengths of about 400 to 700 nanometers (nm), so a light microscope (LM) cannot resolve details much finer than about 0.2 µm (200 nm), roughly the size of a small bacterium. Light microscopes magnify usefully up to about 1,000 times. Their great advantage is that they show living cells.
Light microscopy techniques
In brightfield microscopy light passes straight through the specimen; unstained cells show little contrast, but stained cells show clearly, though staining usually kills them. Phase contrast and differential interference contrast optics convert tiny differences in density into differences in brightness, revealing living, unstained cells. In fluorescence microscopy, specific molecules are tagged with fluorescent dyes or with fluorescent proteins such as green fluorescent protein (GFP), which glow when lit with the right wavelength. Confocal microscopes use a laser and a pinhole to reject out-of-focus light, building sharp optical slices that can be stacked into three dimensional images. Super-resolution methods, developed in the last few decades, use clever control of fluorescent molecules to break the traditional 200 nm limit and resolve structures as small as 10 to 20 nm.
Electron microscopy
An electron microscope (EM) focuses a beam of electrons with magnets. Electrons have a much shorter wavelength than light, so the practical resolution of modern EMs is about 2 nm or better, a hundred times finer than the LM. Specimens must be fixed, dried or frozen and placed in a vacuum, so living cells cannot be observed.
- The scanning electron microscope (SEM) scans a beam across a sample coated with a thin film of metal. Electrons knocked off the surface are detected, producing striking images of surface topography that look three dimensional.
- The transmission electron microscope (TEM) sends electrons through a very thin slice of tissue stained with heavy metals that bind certain structures. It reveals internal structure, which is how most organelles in this chapter were first described.
- Cryo-electron microscopy (cryo-EM) flash-freezes samples in a thin layer of ice without fixatives, preserving molecules in their natural shape. Combining thousands of images, it can determine the structure of individual proteins and complexes at near atomic resolution.
| Instrument | Approximate resolution | Living specimens? | Best for |
|---|---|---|---|
| Unaided eye | About 100 µm (0.1 mm) | Yes | Frog eggs, large plant cells |
| Brightfield light microscope | About 200 nm | Yes (unstained); stains usually kill | Tissues, whole cells, nuclei |
| Fluorescence and confocal LM | About 200 nm; super-resolution to 10 to 20 nm | Yes | Locating specific molecules in living cells |
| Scanning EM | A few nm | No | Three dimensional surface views |
| Transmission EM | About 0.2 to 2 nm | No | Organelles and internal ultrastructure |
| Cryo-EM | Near atomic | No (frozen) | Structures of proteins and complexes |
Cell fractionation
Microscopes show structure, but biologists also need to know what each structure does. Cell fractionation breaks cells open and separates their parts by spinning them in a centrifuge at increasing speeds. Large, dense components such as nuclei settle (form a pellet) at low speeds; mitochondria and chloroplasts at higher speeds; small membrane fragments and ribosomes only in an ultracentrifuge spinning at up to 100,000 revolutions per minute or more. Testing the purified fractions showed, for example, that the enzymes of cellular respiration reside in mitochondria.
The cell theory
By the mid-1800s, microscopists had seen enough cells in enough organisms to generalize. Matthias Schleiden concluded in 1838 that plants are made of cells, and Theodor Schwann extended the idea to animals in 1839. In 1855 Rudolf Virchow added the crucial third idea, summed up in the Latin phrase omnis cellula e cellula, "every cell from a cell." Together these form the cell theory:
- All living organisms are composed of one or more cells.
- The cell is the basic unit of structure and function in organisms.
- All cells arise from preexisting cells by division.
Modern biology adds that cells contain hereditary information (DNA) that is passed from cell to cell during division, and that all cells share the same basic chemistry. The third tenet also rejected spontaneous generation, the idea that life routinely arises from nonliving matter.
Why cells are small
Every substance a cell uses enters through its surface, and every waste leaves the same way. As a cell grows, its volume increases faster than its surface. For a cube with side length s, surface area is 6s2 and volume is s3, so the surface area to volume ratio is 6/s. A cube 1 µm on a side has a ratio of 6; a cube 10 µm on a side has a ratio of only 0.6. A large cell would have too little membrane to supply its interior. Cells and organisms solve the problem in several ways: they stay small, they become long and thin (nerve cells), they fold their surfaces (the microvilli of intestinal cells increase surface area some twentyfold), and large organisms are built from many small cells rather than a few huge ones.
Light microscopes resolve down to about 200 nm and can show living cells; electron microscopes resolve down to a few nanometers but require dead, prepared samples, with SEM showing surfaces and TEM showing interiors. The cell theory holds that all organisms are made of cells, the cell is life's basic unit, and all cells come from preexisting cells. The surface area to volume ratio explains why cells are small.
Section 2Prokaryotic and eukaryotic cells
Features shared by all cells
Every cell, whatever its type, has four things in common. It is bounded by a plasma membrane, a selective barrier that lets oxygen, nutrients and wastes pass while keeping the cell's contents in. Inside is the cytosol, a semifluid, jellylike substance in which subcellular components are suspended. Every cell carries chromosomes made of DNA that hold its genes. And every cell has ribosomes, the small complexes of RNA and protein that make proteins according to instructions from the genes.
Beyond these essentials, cells come in two fundamentally different organizations. Organisms of the domains Bacteria and Archaea are made of prokaryotic cells. Protists, fungi, plants and animals, which make up the domain Eukarya, are made of eukaryotic cells. The names come from the Greek karyon, kernel, meaning the nucleus: pro means before and eu means true.
Prokaryotic cells
The defining feature of a prokaryotic cell is that its DNA is not enclosed in a membrane-bounded nucleus. Instead, the main chromosome, usually a single circular DNA molecule, is concentrated in a region called the nucleoid, which has no membrane around it. Many prokaryotes also carry plasmids, small circles of extra DNA that often carry genes for antibiotic resistance and can be passed from cell to cell. Prokaryotes lack membrane-enclosed organelles; the region between the nucleoid and the plasma membrane is the cytoplasm, and their ribosomes are smaller (70S) than those of eukaryotes (80S). Most prokaryotic cells are 1 to 5 µm long, about a tenth the diameter of a typical eukaryotic cell.
Outside the plasma membrane, nearly all prokaryotes have a rigid cell wall. In bacteria the wall is made of peptidoglycan, a network of sugar polymers cross-linked by short peptides; archaeal walls lack peptidoglycan. Many prokaryotes also secrete a sticky outer layer of polysaccharide or protein called a capsule, which helps them stick to surfaces and resist the host's immune defenses. Hairlike appendages called fimbriae attach cells to surfaces and to each other, and longer pili (sex pili) pull two cells together to transfer DNA. Many prokaryotes swim with flagella, whip-like structures that rotate like propellers. Bacterial flagella are built from different proteins and work by a different mechanism than eukaryotic flagella, an example of similar functions evolving independently.
Eukaryotic cells
A eukaryotic cell has its DNA inside a nucleus bounded by a double membrane, and it is divided internally by membranes into many organelles, each with a specialized job. Compartmentalization lets incompatible processes run side by side: the acidic, enzyme-filled interior of a lysosome can digest material without harming the cytosol, and fatty acids can be built in one compartment while they are broken down in another. Internal membranes also provide huge surface area for enzymes and transport proteins. Eukaryotic cells are typically 10 to 100 µm in diameter, and they have a cytoskeleton of protein fibers that shapes them, organizes their interior and moves them.
| Feature | Prokaryotic cell | Eukaryotic cell |
|---|---|---|
| Domains | Bacteria and Archaea | Eukarya (protists, fungi, plants, animals) |
| Typical size | 1 to 5 µm | 10 to 100 µm |
| Nucleus | None; DNA in a nucleoid | Membrane-bounded nucleus with nuclear envelope |
| Chromosomes | Usually one circular chromosome, plus plasmids | Several linear chromosomes with histone proteins |
| Membrane-bounded organelles | Absent | Present: ER, Golgi, lysosomes, mitochondria and others |
| Ribosomes | 70S, free in cytoplasm | 80S in cytosol and on rough ER; 70S in mitochondria and chloroplasts |
| Cell wall | Usually present; peptidoglycan in bacteria | Cellulose in plants, chitin in fungi, absent in animals |
| Cytoskeleton | Simple protein filaments | Extensive: microtubules, microfilaments, intermediate filaments |
| Flagella | Rotating protein filament (flagellin) | Whipping 9 + 2 microtubule structure |
| Cell division | Binary fission | Mitosis and meiosis |
Animal cells and plant cells
Animal and plant cells share most organelles: a nucleus, ribosomes, endoplasmic reticulum, Golgi apparatus, mitochondria, peroxisomes, a cytoskeleton and a plasma membrane. They differ in a few telling ways. Plant cells have a rigid cell wall of cellulose outside the plasma membrane, chloroplasts for photosynthesis, a large central vacuole that can fill most of the cell's volume, and plasmodesmata, channels through the walls that connect neighboring cells. Animal cells have lysosomes as prominent digestive organelles (plants use their vacuole for much of this job), centrosomes with a pair of centrioles (absent from most plant cells), and, in some cells, flagella or cilia. Without a cell wall, animal cells rely on an extracellular matrix and on junctions with their neighbors for support.
| Structure | Animal cell | Plant cell |
|---|---|---|
| Cell wall | Absent | Present (cellulose) |
| Chloroplasts | Absent | Present in photosynthetic cells |
| Central vacuole | Absent; small vacuoles only | Large, often 80 percent of cell volume |
| Lysosomes | Prominent | Rare; vacuole does similar work |
| Centrioles | Present in centrosome | Absent in most |
| Connections between cells | Tight junctions, desmosomes, gap junctions | Plasmodesmata |
All cells have a plasma membrane, cytosol, DNA chromosomes and ribosomes. Prokaryotic cells (bacteria and archaea) are small, keep their DNA in a nucleoid and lack membrane-enclosed organelles; eukaryotic cells are larger and divided into a nucleus and many organelles, which separates incompatible processes. Plant cells add a cellulose wall, chloroplasts, a central vacuole and plasmodesmata, while animal cells have lysosomes, centrioles and an extracellular matrix.
Section 3The endomembrane system, mitochondria and chloroplasts
The nucleus: the cell's information center
The nucleus holds most of the cell's genes and is usually the most conspicuous organelle, averaging about 5 µm across. It is enclosed by the nuclear envelope, a double membrane perforated by nuclear pores about 100 nm wide. Each pore is lined by a large pore complex of proteins that regulates traffic: mRNA and ribosomal subunits move out, while proteins needed in the nucleus, such as DNA polymerases and histones, move in. On the inner side of the envelope, a meshwork of intermediate filaments called the nuclear lamina supports the nucleus and helps organize the DNA.
Inside, DNA is organized into chromosomes. Each chromosome is a single long DNA molecule wrapped around proteins, chiefly histones; the DNA-protein complex is called chromatin. A human body cell has 46 chromosomes. In a cell that is not dividing, chromatin is diffuse; as a cell prepares to divide, it condenses into the thick, visible chromosomes seen in mitosis. A dense region called the nucleolus is where ribosomal RNA (rRNA) is made and joined with proteins imported from the cytoplasm to assemble ribosomal subunits, which then exit through the pores.
Ribosomes: protein factories
Ribosomes are not membrane-bounded; each is a complex of rRNA and protein with a large and a small subunit. Cells that make lots of protein, such as pancreas cells that secrete digestive enzymes, have millions of ribosomes and prominent nucleoli. Ribosomes work in two places. Free ribosomes, suspended in the cytosol, make proteins that function there, such as the enzymes of glycolysis. Bound ribosomes, attached to the outside of the endoplasmic reticulum or nuclear envelope, make proteins destined for membranes, for packaging into organelles such as lysosomes, or for secretion from the cell. Bound and free ribosomes are identical; a ribosome binds the ER only when the protein it is making begins with a signal peptide that directs it there.
The endomembrane system
The endomembrane system includes the nuclear envelope, the endoplasmic reticulum, the Golgi apparatus, lysosomes, vacuoles and the plasma membrane. These membranes are related either through direct physical continuity or by the transfer of membrane segments as small vesicles, sacs made of membrane that bud from one compartment and fuse with another. Together they synthesize proteins, modify and sort them, make lipids, metabolize carbohydrates and detoxify poisons.
The endoplasmic reticulum (ER) is an extensive network of membrane-enclosed tubules and sacs called cisternae, often accounting for more than half the total membrane in a eukaryotic cell. Its internal space, the ER lumen, is continuous with the space between the two membranes of the nuclear envelope. The ER has two regions:
- Smooth ER lacks ribosomes. It synthesizes lipids, including phospholipids and steroids; the cells of the testes and ovaries that make sex hormones are packed with it. In liver cells, smooth ER enzymes detoxify drugs and poisons, mostly by adding hydroxyl groups that make them more soluble and easier to excrete. Repeated exposure to drugs such as alcohol makes smooth ER proliferate, increasing tolerance. In muscle cells, a specialized smooth ER (the sarcoplasmic reticulum) stores calcium ions and releases them to trigger contraction.
- Rough ER is studded with bound ribosomes. As a polypeptide grows, it is threaded into the lumen, where it folds into its shape. Many become glycoproteins as ER enzymes attach short carbohydrate chains. Rough ER also makes new membrane, inserting proteins into its own membrane and adding phospholipids. Finished proteins leave in transport vesicles that bud from a specialized region.
The Golgi apparatus: shipping and receiving
Transport vesicles from the ER travel to the Golgi apparatus, a stack of flattened membranous sacs (cisternae). The Golgi has a distinct polarity. The cis face, usually near the ER, receives vesicles; the trans face ships them out. As products move from cis to trans, mainly because the cisternae themselves mature, Golgi enzymes modify them, trimming and changing the carbohydrate chains of glycoproteins and making some polysaccharides, such as the pectins of plant cell walls. The Golgi then sorts products and targets them by attaching molecular tags, such as phosphate groups, that act like postal zip codes. Vesicles from the trans face go to lysosomes, to the plasma membrane for insertion, or to the surface for secretion.
Lysosomes and vacuoles
A lysosome is a membranous sac of hydrolytic enzymes that digest proteins, fats, polysaccharides and nucleic acids. These enzymes work best at about pH 5, which the lysosome maintains by pumping hydrogen ions in from the cytosol. If a lysosome leaks, its enzymes are not very active at the neutral pH of the cytosol, a built-in safeguard. Lysosomes carry out intracellular digestion. In phagocytosis, a cell engulfs a food particle or bacterium in a vacuole that fuses with a lysosome; macrophages destroy bacteria this way. In autophagy, a damaged organelle is wrapped in a membrane and digested, and its building blocks are recycled.
Vacuoles are large vesicles derived from the ER and Golgi. Food vacuoles form by phagocytosis. Many freshwater protists have contractile vacuoles that pump excess water out of the cell. Mature plant cells have a central vacuole enclosed by a membrane called the tonoplast. It stores ions, holds pigments that color petals, accumulates poisons that deter herbivores, and, most importantly, takes up water so that the cell grows larger with little investment in new cytoplasm.
Mitochondria and chloroplasts: energy converters
Mitochondria are the sites of cellular respiration, the oxygen-using process that releases energy from sugars, fats and other fuels and stores it in ATP. Nearly all eukaryotic cells have them, from one large mitochondrion to thousands, roughly matching the cell's activity; heart muscle cells are especially rich in them. A mitochondrion is enclosed by two membranes. The outer membrane is smooth. The inner membrane is folded into cristae, which greatly increase its surface area for the enzymes of the electron transport chain and ATP synthase. The inner membrane divides the organelle into an intermembrane space and the mitochondrial matrix, which contains enzymes of the citric acid cycle, mitochondrial DNA and ribosomes.
Chloroplasts, found in plants and algae, are the sites of photosynthesis, which converts light energy to chemical energy stored in sugar. They are members of a family of plant organelles called plastids, which also includes amyloplasts that store starch. A chloroplast is enclosed by two membranes separated by a narrow space. Inside lies a third membrane system of flattened sacs called thylakoids, often stacked like coins into grana (singular granum). The thylakoid membranes hold the green pigment chlorophyll and capture light. The fluid outside the thylakoids, the stroma, contains the chloroplast's DNA, ribosomes and the enzymes that build sugar.
The endosymbiont theory
Mitochondria and chloroplasts are not part of the endomembrane system; their proteins are made mostly on free ribosomes in the cytosol and on their own ribosomes inside. Their peculiarities point to a remarkable origin. According to the endosymbiont theory, an early ancestor of eukaryotic cells engulfed an oxygen-using bacterium that was not digested but became an endosymbiont, a cell living inside another cell. Over time the two merged into a single organism, and the endosymbiont became the mitochondrion. Later, one of these cells engulfed a photosynthetic cyanobacterium, which became the chloroplast of the lineage that gave rise to algae and plants. The evidence is strong:
- Both organelles are enclosed by two membranes, consistent with an engulfed cell inside a vesicle.
- Both contain their own circular DNA without histones, like bacterial chromosomes.
- Both have 70S ribosomes resembling bacterial ribosomes, sensitive to some of the same antibiotics.
- Both reproduce by a splitting process similar to binary fission, and cells cannot make them from scratch.
- Their DNA sequences are most similar to those of living bacteria: mitochondria to alphaproteobacteria and chloroplasts to cyanobacteria.
Peroxisomes
A peroxisome is a single-membrane compartment with enzymes that remove hydrogen atoms from various substrates and transfer them to oxygen, producing hydrogen peroxide (H2O2). Another enzyme, catalase, immediately converts the toxic H2O2 to water and oxygen. Peroxisomes break down long fatty acids into pieces that mitochondria can burn, and in the liver they detoxify alcohol and other harmful compounds.
| Organelle | Membranes | Main function | A cell rich in it |
|---|---|---|---|
| Nucleus | Double (nuclear envelope with pores) | Stores DNA; transcription; ribosome assembly in nucleolus | All eukaryotic cells except mature red blood cells |
| Rough ER | Single | Makes secretory and membrane proteins; adds sugars | Pancreatic acinar cells, plasma cells |
| Smooth ER | Single | Lipid and steroid synthesis; detoxification; Ca2+ storage | Liver cells, steroid-secreting cells, muscle |
| Golgi apparatus | Single, stacked | Modifies, sorts and ships products | Secretory cells |
| Lysosome | Single | Digestion at pH 5; autophagy | Macrophages |
| Peroxisome | Single | Oxidation reactions; catalase destroys H2O2 | Liver and kidney cells |
| Mitochondrion | Double; inner folded into cristae | Cellular respiration; ATP production | Heart and skeletal muscle, sperm |
| Chloroplast | Double, plus thylakoids | Photosynthesis | Leaf mesophyll cells |
The nucleus stores DNA and builds ribosomes, which make proteins either free in the cytosol or bound to the rough ER. The endomembrane system (nuclear envelope, ER, Golgi, lysosomes, vacuoles and plasma membrane) makes, modifies, sorts and ships proteins and lipids using vesicles. Mitochondria and chloroplasts convert energy and, with their double membranes, circular DNA and bacterial-like ribosomes, are descendants of engulfed bacteria.
Section 4The cytoskeleton and cell junctions
A dynamic scaffold
Early electron micrographs made the cytosol look like an empty soup in which organelles floated. Better methods revealed instead a network of protein fibers extending throughout the cytoplasm: the cytoskeleton. It gives mechanical support and maintains shape, which matters most in animal cells that lack walls. It anchors organelles in place, and it provides tracks along which motor proteins carry vesicles and organelles. It is constantly disassembled and rebuilt, letting cells change shape, crawl and divide. It has three kinds of fibers.
Microtubules
Microtubules, the thickest fibers (about 25 nm in diameter), are hollow tubes whose walls are made of the globular protein tubulin. Each tubulin unit is a dimer of alpha tubulin and beta tubulin. Microtubules have polarity: dimers are added and removed much faster at the plus end. They shape cells, serve as tracks for vesicles moving from the Golgi to the plasma membrane, separate chromosomes during cell division (as the mitotic spindle) and form the core of cilia and flagella. The drug colchicine, used to treat gout, binds tubulin and blocks microtubule growth; taxol, a cancer drug, does the opposite, freezing microtubules so dividing cells cannot complete mitosis.
In animal cells, microtubules grow out from a centrosome near the nucleus, a microtubule-organizing center that contains a pair of centrioles. Each centriole is a ring of nine sets of triplet microtubules. Plant cells and many fungi organize microtubules without centrioles.
Cilia and flagella are microtubule-containing extensions of some eukaryotic cells. They share a common structure: a core of nine doublets of microtubules arranged in a ring around two single microtubules in the center, the 9 + 2 pattern, covered by the plasma membrane. The assembly is anchored by a basal body whose structure (nine triplets, no center) is identical to a centriole. Arms of the motor protein dynein on each doublet "walk" along the neighboring doublet, using ATP; because the doublets are held together by cross-linking proteins, this walking makes the whole structure bend rather than slide apart. Flagella are usually few and long and move with a snake-like undulation (sperm); cilia are numerous and short and beat in an oar-like power stroke (the lining of the airways, which sweeps mucus out of the lungs, and the oviduct, which moves an egg toward the uterus).
Microfilaments
Microfilaments are the thinnest fibers (about 7 nm), solid rods built from a twisted double chain of actin subunits. They bear tension (pulling forces). A three dimensional network of microfilaments just inside the plasma membrane, the cortex, gives the outer cytoplasm a gel-like consistency and supports the cell's shape. Bundles of microfilaments form the core of microvilli, which increase the surface of intestinal cells. Microfilaments are best known for their role in movement. In muscle cells, thousands of actin filaments interdigitate with thicker filaments of the motor protein myosin, and myosin heads walk along the actin to contract the cell. In dividing animal cells, a ring of actin and myosin pinches the cell in two (the cleavage furrow). Cells such as amoebas and white blood cells crawl by extending pseudopodia as actin assembles at the leading edge, and in plant cells actin and myosin drive cytoplasmic streaming, a circular flow that distributes materials in large cells.
Intermediate filaments
Intermediate filaments range from 8 to 12 nm in diameter, between the other two. They are the most permanent part of the cytoskeleton and are specialized for bearing tension, like rope. Unlike the other two, they are built from a diverse family of proteins, and different cell types use different ones: keratins in epithelial cells (and in hair and nails), neurofilaments in nerve axons, vimentin in fibroblasts and lamins forming the nuclear lamina. They reinforce cell shape, anchor the nucleus, and in skin they connect to junctions between cells to spread mechanical stress. They are found only in some animals, including vertebrates.
| Property | Microtubules | Microfilaments | Intermediate filaments |
|---|---|---|---|
| Diameter | About 25 nm, hollow | About 7 nm, solid | 8 to 12 nm |
| Protein subunit | Tubulin (alpha and beta dimer) | Actin | Varies: keratins, lamins, vimentin, neurofilament proteins |
| Main mechanical role | Resist compression | Bear tension | Bear tension; permanent |
| Main functions | Cell shape, vesicle tracks, chromosome separation, cilia and flagella | Muscle contraction, cleavage furrow, pseudopodia, cytoplasmic streaming, microvilli | Anchor nucleus, nuclear lamina, resist stretch in skin |
| Motor partners | Kinesin and dynein | Myosin | None |
Outside the cell: walls and matrix
A plant cell wall protects the cell, maintains its shape and prevents excessive uptake of water. It is built from cellulose microfibrils embedded in a matrix of other polysaccharides and protein. A young cell secretes a thin, flexible primary wall; between neighboring cells lies the middle lamella, rich in sticky pectins that glue cells together. When growth stops, many cells add a strong, often woody secondary wall between the plasma membrane and the primary wall.
Animal cells lack walls but secrete an elaborate extracellular matrix (ECM). Its main ingredients are glycoproteins and other carbohydrate-containing molecules. The most abundant is collagen, about 40 percent of the total protein in the human body, which forms strong fibers embedded in a network of proteoglycans, molecules with a small protein core and many carbohydrate chains that trap water. Glycoproteins called fibronectin bind the ECM to integrins, receptor proteins that span the plasma membrane and connect on the inside to microfilaments. Integrins transmit signals in both directions, so changes in the matrix can alter gene expression inside the cell and coordinate the behavior of all cells in a tissue.
Cell junctions
Neighboring cells in tissues adhere, interact and communicate through specialized junctions.
- Plasmodesmata are channels that pass through plant cell walls. The plasma membranes of adjacent cells line each channel, so the cytosol of the cells is continuous. Water, small solutes and even some proteins and RNA move from cell to cell this way.
- Tight junctions press the plasma membranes of neighboring animal cells tightly together, bound by specific proteins, forming a continuous seal around the cells that prevents leakage of fluid between them. Tight junctions between skin cells make us watertight, and in the gut and kidney they force substances to pass through cells rather than around them.
- Desmosomes (anchoring junctions) work like rivets, fastening cells together into strong sheets. Intermediate filaments of keratin anchor them on the inside. They are abundant in skin and heart muscle, tissues that are stretched and pulled.
- Gap junctions (communicating junctions) are channels formed by membrane proteins that connect the cytoplasm of adjacent animal cells, letting ions, sugars and other small molecules pass. They are functionally similar to plasmodesmata and are essential in heart muscle, where they let electrical signals spread quickly so the cells contract in unison.
The cytoskeleton is a dynamic network of microtubules (tubulin; compression, tracks, spindles, cilia and flagella), microfilaments (actin; tension, contraction and crawling with myosin) and intermediate filaments (varied proteins; permanent strength). Outside the cell, plant walls of cellulose and the animal extracellular matrix of collagen and proteoglycans provide support, while plasmodesmata, tight junctions, desmosomes and gap junctions connect neighboring cells.
Section 5Membrane structure, passive and active transport, bulk transport
The fluid mosaic model
The plasma membrane is only about 8 nm thick, yet it controls traffic into and out of the cell. It shows selective permeability: some substances cross easily and others hardly at all. The accepted description of its structure is the fluid mosaic model: a fluid phospholipid bilayer in which a mosaic of diverse proteins is embedded or attached. The phospholipids are amphipathic (Chapter 1), with hydrophilic heads facing the watery cytosol and extracellular fluid and hydrophobic tails facing each other in the interior.
The membrane is held together mainly by hydrophobic interactions, which are much weaker than covalent bonds. Phospholipids can therefore drift sideways within their layer, swapping places with neighbors millions of times per second, though they rarely flip from one layer to the other. Many proteins also drift, more slowly, and some are held in place by attachments to the cytoskeleton or the ECM. Membrane fluidity is essential: a membrane that is too fluid cannot hold proteins in position, and one that solidifies cannot function. Fluidity depends on:
- Temperature: as temperature falls, the membrane eventually solidifies.
- Fatty acid tails: unsaturated tails, kinked by cis double bonds, cannot pack closely and keep the membrane fluid at lower temperatures. Organisms adapt: winter wheat and cold-water fish increase the proportion of unsaturated phospholipids in their membranes as temperatures drop.
- Cholesterol, wedged between phospholipids in animal membranes, acts as a fluidity buffer. At warm temperatures it restrains phospholipid movement, and at cool temperatures it keeps them from packing tightly.
Membrane proteins and carbohydrates
Proteins determine most of a membrane's functions. Integral proteins penetrate the hydrophobic interior; most are transmembrane proteins that span the whole bilayer, with hydrophobic stretches (usually alpha helices of nonpolar amino acids) inside the membrane and hydrophilic regions exposed to the water on each side. Peripheral proteins are not embedded at all; they are loosely bound to the surface, often to exposed parts of integral proteins. Membrane proteins carry out six broad functions: transport, enzymatic activity, signal transduction (receptors), cell to cell recognition, intercellular joining and attachment to the cytoskeleton and ECM.
Cells recognize one another by binding to molecules, often containing carbohydrates, on the outer surface of the plasma membrane. Short, branched carbohydrate chains are covalently bonded to lipids, forming glycolipids, or to proteins, forming glycoproteins. Together they make a sugar coat, the glycocalyx, that differs from species to species, from individual to individual and from one cell type to another. The A, B, AB and O human blood types reflect variation in the carbohydrate part of glycoproteins on red blood cells. Membranes are therefore asymmetric: the inner and outer layers differ in their lipids, and carbohydrates face only the outside.
Permeability of the lipid bilayer
The hydrophobic core of the bilayer controls what can cross on its own. Small nonpolar molecules, such as O2, CO2 and steroid hormones, dissolve in the lipid and cross easily. Very small polar molecules such as water cross slowly. Ions and larger polar molecules such as glucose barely cross at all, because they are surrounded by water and repelled by the hydrophobic core. These substances cross through transport proteins. Channel proteins provide hydrophilic tunnels; aquaporins, for example, let up to 3 billion water molecules per second pass through each channel, and many ion channels open and close in response to signals (gated channels). Carrier proteins bind a specific substance and change shape to shuttle it across.
Passive transport: diffusion and osmosis
Diffusion is the net movement of a substance from where it is more concentrated to where it is less concentrated, the result of random thermal motion. Any substance diffuses down its own concentration gradient, independent of other substances, until it reaches dynamic equilibrium, when as many molecules cross one way as the other. Because no cellular energy is spent, diffusion across a membrane is called passive transport. Oxygen diffuses into a cell that is using it, and CO2 diffuses out.
Osmosis is the diffusion of free water across a selectively permeable membrane. Water moves from the side with lower solute concentration (more free water) to the side with higher solute concentration, because solutes bind water molecules and reduce the concentration of free water. To predict osmosis, compare the solution outside a cell to the cell's interior using tonicity, the ability of a surrounding solution to make a cell gain or lose water. Tonicity depends on the concentration of solutes that cannot cross the membrane.
- An isotonic solution has the same nonpenetrating solute concentration as the cell; there is no net water movement. For human cells, 0.9 percent NaCl (normal saline) is isotonic.
- A hypertonic solution has more nonpenetrating solute than the cell; the cell loses water. An animal cell shrivels (crenation); in a plant cell, the plasma membrane pulls away from the wall in plasmolysis, usually lethal.
- A hypotonic solution has less solute than the cell; water enters. An animal cell swells and may burst (lysis). A plant cell swells until its wall pushes back, becoming firm, or turgid, which is the healthy state for most plant cells. If water is lost, plants wilt as cells become flaccid.
Organisms without walls that live in hypotonic or hypertonic environments must practice osmoregulation, the control of solute concentrations and water balance. The freshwater protist Paramecium lives in water strongly hypotonic to its cytoplasm and uses a contractile vacuole to pump the incoming water back out.
Facilitated diffusion
In facilitated diffusion, polar molecules and ions diffuse passively down their gradients with the help of transport proteins, either channels or carriers. It is still passive: no energy is spent, and the direction is always down the gradient. Because carrier proteins have a limited number of binding sites, facilitated diffusion saturates; once every carrier is busy, adding more solute outside does not speed transport. The GLUT family of glucose carriers moves glucose into most of your cells by facilitated diffusion.
Active transport
Some transport proteins move solutes against their concentration gradients, from low to high. This active transport requires energy, usually from ATP, and lets a cell keep internal concentrations very different from its surroundings. All active transport uses carrier proteins, not channels.
The best-known example is the sodium-potassium pump (Na+/K+ ATPase) of animal cells. In each cycle it binds 3 Na+ on the cytoplasmic side, is phosphorylated by ATP, changes shape and releases the sodium outside; it then binds 2 K+ outside, loses the phosphate, returns to its original shape and releases the potassium inside. The result is high K+ and low Na+ inside the cell. Because it moves 3 positive charges out for every 2 in, the pump also makes the inside of the cell negative relative to the outside.
That voltage across the membrane is the membrane potential, typically about −50 to −70 millivolts. It favors the movement of cations into the cell and anions out. Ions therefore respond to a combined electrochemical gradient: the chemical force of their concentration gradient plus the electrical force of the membrane potential. A transport protein that generates voltage is an electrogenic pump; in animals the main one is the sodium-potassium pump, and in plants, fungi and bacteria it is a proton pump that moves H+ out of the cell.
In cotransport (secondary active transport), a gradient created by a pump drives the uphill transport of another solute. A cotransporter lets an ion flow down its gradient and harnesses that energy to move a second solute against its gradient. In your intestine, a sodium-glucose cotransporter uses the inward Na+ gradient to pull glucose into cells even when glucose is already more concentrated inside. Plant cells use the H+ gradient from their proton pumps to load sucrose into the phloem the same way.
| Mechanism | Direction relative to gradient | Protein needed? | Energy source | Example |
|---|---|---|---|---|
| Simple diffusion | Down | No | None (kinetic energy) | O2 and CO2 across the bilayer |
| Osmosis | Water moves toward higher solute | Partly via aquaporins | None | Water entering a cell in a hypotonic solution |
| Facilitated diffusion | Down | Yes: channel or carrier | None | GLUT glucose carrier; ion channels |
| Primary active transport | Against | Yes: carrier (pump) | ATP directly | Na+/K+ pump; proton pump |
| Secondary active transport | Against (for the cotransported solute) | Yes: cotransporter | Ion gradient made by a pump | Sodium-glucose cotransporter; sucrose-H+ cotransporter |
| Exocytosis and endocytosis | Bulk movement | Vesicles and coat proteins | ATP | Neurotransmitter release; LDL uptake |
Bulk transport: exocytosis and endocytosis
Large molecules such as proteins and polysaccharides, and particles such as bacteria, cross the plasma membrane in bulk, packaged in vesicles. This also costs energy. In exocytosis, a transport vesicle from the Golgi moves along microtubules to the plasma membrane, the two membranes fuse, and the contents spill outside while the vesicle membrane becomes part of the plasma membrane. Pancreatic cells secrete insulin this way, and nerve cells release neurotransmitters.
In endocytosis, the cell takes in molecules and particles by forming new vesicles from the plasma membrane. There are three types:
- Phagocytosis ("cellular eating"): the cell wraps pseudopodia around a large particle, such as a bacterium, and packages it in a food vacuole, which fuses with a lysosome.
- Pinocytosis ("cellular drinking"): the membrane folds inward to take in droplets of extracellular fluid with whatever solutes they contain. It is nonspecific.
- Receptor-mediated endocytosis: specific receptors, clustered in coated pits lined with the protein clathrin, bind particular molecules (ligands), and the pit pinches off as a vesicle. This lets cells take up large amounts of specific substances even when they are scarce. Human cells take in cholesterol this way, as low-density lipoprotein (LDL) particles bound to LDL receptors.
Membranes are fluid phospholipid bilayers studded with proteins, kept fluid by unsaturated tails and cholesterol, with carbohydrates for recognition on the outside. Small nonpolar molecules cross by simple diffusion; water crosses by osmosis, governed by tonicity; ions and polar molecules need channels or carriers. Passive transport runs down gradients with no energy, active transport pumps against gradients using ATP directly or indirectly through cotransport, and vesicles carry large cargo out by exocytosis and in by endocytosis.
The chapter in one breath
- Light microscopes resolve about 200 nm and can show living cells; electron microscopes resolve a few nanometers, with SEM for surfaces and TEM for interiors.
- The cell theory: all organisms are made of cells, the cell is the basic unit of life, and all cells come from preexisting cells.
- Cells are small because the surface area to volume ratio falls as size increases.
- Prokaryotes have a nucleoid, 70S ribosomes, usually a peptidoglycan wall and no membrane-enclosed organelles; eukaryotes have a nucleus and many organelles.
- Plant cells add a cellulose cell wall, chloroplasts, a central vacuole and plasmodesmata; animal cells have lysosomes, centrioles and an extracellular matrix.
- The endomembrane system moves products from rough ER to Golgi (cis to trans) to lysosomes, the plasma membrane or secretion.
- Smooth ER makes lipids, detoxifies drugs and stores calcium; lysosomes digest at pH 5; peroxisomes make and destroy H2O2.
- Mitochondria (cristae, matrix) and chloroplasts (thylakoids, grana, stroma) convert energy and arose by endosymbiosis.
- The cytoskeleton comprises microtubules (tubulin, 25 nm), microfilaments (actin, 7 nm) and intermediate filaments (8 to 12 nm); cilia and flagella have a 9 + 2 microtubule core moved by dynein.
- Tight junctions seal, desmosomes anchor and gap junctions communicate; plants use plasmodesmata.
- The fluid mosaic membrane is selectively permeable; water moves by osmosis toward the side with more nonpenetrating solute.
- Passive transport runs down gradients; active transport runs against them using ATP or cotransport; endocytosis and exocytosis move bulk cargo.
Words worth knowing
| Term | What it means |
|---|---|
| Resolution | The smallest distance at which two points can still be seen as separate; a measure of image clarity. |
| Transmission electron microscope | A microscope that passes electrons through thin sections to show internal structure. |
| Cell theory | The principle that all life is made of cells, the cell is the basic unit of life and cells come only from cells. |
| Nucleoid | The region of a prokaryotic cell where the chromosome lies, without a surrounding membrane. |
| Plasmid | A small circular DNA molecule separate from the main chromosome, common in bacteria. |
| Peptidoglycan | A polymer of sugars cross-linked by peptides that makes up bacterial cell walls. |
| Nuclear envelope | The double membrane, perforated by pores, that encloses the nucleus. |
| Nucleolus | The region of the nucleus where ribosomal RNA is made and ribosomal subunits are assembled. |
| Endomembrane system | The connected membranes of the nuclear envelope, ER, Golgi, lysosomes, vacuoles and plasma membrane. |
| Rough ER | Endoplasmic reticulum studded with ribosomes; makes secretory and membrane proteins. |
| Smooth ER | Ribosome-free ER that makes lipids, detoxifies drugs and stores calcium. |
| Golgi apparatus | Stacked membrane sacs that modify, sort and ship proteins and lipids. |
| Lysosome | An acidic, membrane-bounded sac of hydrolytic enzymes that digests macromolecules. |
| Cristae | The folds of the inner mitochondrial membrane. |
| Thylakoid | A flattened membrane sac inside a chloroplast that captures light; stacks form grana. |
| Endosymbiont theory | The idea that mitochondria and chloroplasts descend from bacteria engulfed by ancestral cells. |
| Peroxisome | An organelle that transfers hydrogen to oxygen, making H2O2 and breaking it down with catalase. |
| Microtubule | A hollow tube of tubulin that shapes cells, guides vesicles and forms spindles, cilia and flagella. |
| Microfilament | A thin actin filament that bears tension and drives contraction and crawling. |
| Intermediate filament | A ropelike fiber of varied proteins, such as keratin, that gives permanent strength. |
| Extracellular matrix | The network of collagen, proteoglycans and other glycoproteins secreted around animal cells. |
| Gap junction | A protein channel joining the cytoplasm of neighboring animal cells. |
| Fluid mosaic model | The view of the membrane as a fluid lipid bilayer with embedded and attached proteins. |
| Osmosis | The diffusion of free water across a selectively permeable membrane. |
| Tonicity | The ability of a surrounding solution to make a cell gain or lose water. |
| Hypertonic | Describes a solution with more nonpenetrating solute than the cell, causing the cell to lose water. |
| Facilitated diffusion | Passive movement of a substance down its gradient through a channel or carrier protein. |
| Sodium-potassium pump | A carrier that uses ATP to move 3 Na+ out and 2 K+ into an animal cell. |
| Cotransport | Coupled transport in which an ion moving down its gradient drives another solute against its gradient. |
| Receptor-mediated endocytosis | Uptake of specific molecules that bind receptors clustered in coated pits. |
Check yourself
Energy, Enzymes, Cellular Respiration and Photosynthesis
A living cell is a chemical factory that never shuts down: it pulls energy out of food or sunlight, stores it briefly in ATP, and spends it to build, move and copy itself. This chapter follows that energy from the laws of thermodynamics through the enzymes that control every reaction, the breakdown of glucose in cellular respiration, and the capture of light in photosynthesis. Once you see how these pathways connect, much of physiology, nutrition, agriculture and medicine becomes far easier to understand.
By the end of this chapter you can
- State the first and second laws of thermodynamics and use free energy (ΔG) to predict whether a reaction is exergonic or endergonic.
- Explain how ATP stores and transfers energy and how cells use energy coupling to drive uphill reactions.
- Describe how enzymes lower activation energy, and how temperature, pH, cofactors and inhibitors change their activity.
- Distinguish competitive, noncompetitive and allosteric regulation and explain feedback inhibition.
- Trace a glucose molecule through glycolysis, pyruvate oxidation, the citric acid cycle and oxidative phosphorylation, and account for the ATP produced at each stage.
- Explain chemiosmosis and the role of oxygen as the final electron acceptor.
- Compare lactic acid and alcohol fermentation with aerobic respiration and describe how respiration is regulated.
- Describe the light reactions and the Calvin cycle of photosynthesis and how they depend on each other.
- Contrast C3, C4 and CAM plants and explain how the last two reduce photorespiration.
Section 1Energy, free energy and ATP
Metabolism and the forms of energy
Metabolism is the sum of all the chemical reactions in an organism, organized into metabolic pathways in which each step is catalyzed by a specific enzyme. Catabolic pathways break complex molecules down and release energy (cellular respiration is the classic example); anabolic pathways consume energy to build complex molecules, such as proteins from amino acids. The energy released by catabolism pays for anabolism.
Energy is the capacity to cause change, or to do work. Kinetic energy is the energy of motion, and thermal energy is the kinetic energy of randomly moving molecules; when it is transferred between objects we call it heat. Potential energy is energy stored by location or structure, such as water behind a dam or a proton gradient across a membrane. Chemical energy is the potential energy in the arrangement of atoms in molecules; glucose has much more of it than the carbon dioxide and water it can become.
The laws of thermodynamics
Thermodynamics is the study of energy transformations. An organism is an open system that exchanges energy and matter with its surroundings.
The first law of thermodynamics states that energy can be transferred and transformed but not created or destroyed. A plant converts light energy into chemical energy; an animal converts the chemical energy in food into movement, gradients, new bonds and heat.
The second law of thermodynamics states that every energy transfer or transformation increases the entropy (disorder, or the dispersal of energy) of the universe. No transformation is perfectly efficient; some energy is always lost as heat the cell cannot use. Living things build ordered structures only by taking in organized energy (food or light) and releasing heat and simple, low energy molecules to the surroundings, so the entropy of organism plus surroundings always rises.
Free energy and spontaneous change
To predict whether a reaction can occur without an outside input of energy, biologists use free energy (G), the portion of a system's energy that can do work when temperature and pressure are uniform, as they are in a cell. The change in free energy during a reaction is
ΔG = ΔH − TΔS
where ΔH is the change in enthalpy (total energy, essentially the energy in bonds), ΔS is the change in entropy, and T is the absolute temperature in kelvins. A reaction with a negative ΔG loses free energy and is spontaneous, meaning it is energetically favorable and can proceed without an energy input. In biology the word spontaneous says nothing about speed. The oxidation of a sugar cube in air has a large negative ΔG, yet the cube sits on the table for years, because a barrier called activation energy (Section 2) keeps the reaction from starting.
Reactions are classified by the sign of ΔG:
- An exergonic reaction releases free energy (ΔG is negative). The products have less free energy than the reactants. The complete oxidation of one mole of glucose, C6H12O6 + 6 O2 → 6 CO2 + 6 H2O, has a standard ΔG of about −686 kcal/mol (−2,870 kJ/mol).
- An endergonic reaction absorbs free energy (ΔG is positive). It is not spontaneous, and the energy must come from somewhere else. Photosynthesis, the reverse of glucose oxidation, is strongly endergonic; its energy comes from light.
At chemical equilibrium the forward and reverse reactions occur at the same rate, ΔG is zero, and the system can do no work. A cell at metabolic equilibrium would be dead, so living cells keep their pathways far from equilibrium: products are constantly pulled away by the next reaction and fresh substrates constantly arrive.
| Feature | Exergonic reaction | Endergonic reaction |
|---|---|---|
| Sign of ΔG | Negative | Positive |
| Free energy of products vs reactants | Products lower | Products higher |
| Spontaneous? | Yes (energetically favorable, though it may be slow) | No; needs an energy input or coupling |
| Typical role in metabolism | Catabolism: respiration, ATP hydrolysis | Anabolism: protein, DNA and starch synthesis; active transport |
| Examples | Glucose oxidation (−686 kcal/mol); ATP to ADP + Pi (−7.3 kcal/mol) | Glutamate + NH3 to glutamine (+3.4 kcal/mol); photosynthesis (+686 kcal/mol) |
ATP: the cell's energy currency
Cells do three main kinds of work: chemical work (pushing endergonic reactions, such as building polymers), transport work (pumping substances across membranes against their gradients), and mechanical work (beating cilia, contracting muscle, moving chromosomes). Most of this work is powered, directly or indirectly, by ATP (adenosine triphosphate).
ATP is a nucleotide made of adenine, the sugar ribose, and a chain of three phosphate groups joined by phosphoanhydride bonds. These are often called "high energy bonds," but the bonds are not unusually strong. The three negatively charged phosphates repel one another, and the products of hydrolysis are far more stable. Removing the terminal phosphate yields ADP plus inorganic phosphate (Pi) and releases about 7.3 kcal/mol (30.5 kJ/mol) under standard conditions, and closer to 13 kcal/mol under cellular conditions.
Energy coupling and phosphorylation
Energy coupling is the use of an exergonic process to drive an endergonic one. The overall ΔG of two coupled reactions is the sum of their individual ΔG values, so as long as the sum is negative, the pair proceeds. The cell rarely just hydrolyzes ATP and lets the energy escape as heat. Instead, an enzyme transfers the terminal phosphate from ATP to another molecule, a step called phosphorylation. The phosphorylated intermediate is less stable (has more free energy) than the original molecule, so its next reaction becomes exergonic.
Consider the synthesis of glutamine from glutamate and ammonia (ΔG about +3.4 kcal/mol). The enzyme first phosphorylates glutamate using ATP, and the phosphorylated intermediate then reacts readily with ammonia. The coupled reaction has an overall ΔG of about −3.9 kcal/mol (+3.4 − 7.3). Transport and mechanical work follow the same logic: the sodium potassium pump changes shape when phosphorylated, and motor proteins such as myosin change shape as they bind and hydrolyze ATP.
ATP is a renewable resource. The ATP cycle regenerates ATP from ADP, an endergonic reaction paid for by catabolism. A working muscle cell recycles its whole ATP pool in about a minute, some 10 million molecules per second, and an adult turns over roughly his or her body weight in ATP each day. ATP is a currency spent as fast as it is earned; long-term storage is the job of glycogen, starch and fat.
Oxidation, reduction and electron carriers
Much of the energy flow in metabolism is the movement of electrons. A reaction that transfers electrons from one substance to another is an oxidation reduction reaction, or redox reaction. Losing electrons is oxidation; gaining electrons is reduction (the mnemonic is OIL RIG: oxidation is loss, reduction is gain). The electron donor is the reducing agent and the electron acceptor is the oxidizing agent. In biology, electrons often travel with protons, as hydrogen atoms, so a molecule that loses hydrogen atoms is usually being oxidized.
Electrons release energy when they move from a less electronegative atom to a more electronegative one. In glucose they are shared evenly between carbon and hydrogen; in CO2 and water they are pulled close to oxygen. The cell does not let them fall to oxygen all at once, as in a fire, but hands them in small steps to electron carriers.
The most important carrier is the coenzyme NAD+ (nicotinamide adenine dinucleotide, from the vitamin niacin). Dehydrogenase enzymes remove two hydrogen atoms from a fuel, give both electrons and one proton to NAD+, and release the other proton, forming NADH. A related carrier, FAD (from riboflavin), becomes FADH2. Photosynthesis uses NADP+, which becomes NADPH; NADH mainly feeds energy harvest, while NADPH supplies reducing power for synthesis.
Energy is conserved but every transformation increases entropy, so cells run on a steady supply of free energy. Reactions with negative ΔG are exergonic and can proceed spontaneously; endergonic reactions are driven by coupling them to ATP hydrolysis, usually through phosphorylation. ATP is regenerated continuously by catabolism, and redox carriers such as NAD+ and FAD shuttle electrons, and their energy, between pathways.
Section 2Enzymes and their regulation
Activation energy and catalysis
Every reaction must pass through an unstable transition state in which old bonds are strained and new ones partly formed. The energy needed to reach it is the activation energy (EA). At body temperature few molecules collide hard enough to get over this barrier, and heating the cell would denature proteins and speed every reaction indiscriminately.
A catalyst is a substance that speeds a reaction without being consumed. Biological catalysts are enzymes, nearly all of them proteins (a few are RNA molecules called ribozymes, such as the ribosomal RNA that forms peptide bonds). Enzymes speed reactions, often by factors of a million or more, by lowering the activation energy. They do not change ΔG, they do not change the position of equilibrium, and they cannot make an endergonic reaction exergonic. They simply let the reaction reach equilibrium faster, and because each enzyme catalyzes only one reaction or a small set of reactions, they let the cell decide which reactions happen.
The active site and induced fit
The reactant an enzyme acts on is its substrate. The substrate binds to a pocket or groove on the enzyme, the active site, usually formed by only a handful of amino acids brought together by the protein's folding. The shape and chemistry of the active site make enzymes highly specific: sucrase hydrolyzes sucrose but not maltose, even though both are disaccharides. When the substrate enters, the enzyme changes shape slightly so that the active site grips the substrate more snugly, an effect called induced fit. The older "lock and key" picture captures specificity but misses this flexibility.
Within the enzyme substrate complex, the active site lowers the activation energy in several ways:
- It acts as a template that holds two or more substrates in the correct orientation to react.
- It strains the substrate's bonds, bending it toward the transition state.
- It provides a favorable microenvironment, for example a pocket of acidic side chains that can donate protons.
- Amino acid side chains can participate directly, briefly forming covalent bonds with the substrate before the product is released.
The enzyme is unchanged by the reaction and may handle thousands of substrate molecules per second. The rate rises with substrate concentration until every enzyme molecule is busy; the enzyme is then saturated and the reaction runs at its maximum velocity, Vmax. The substrate concentration giving half of Vmax is the Michaelis constant, Km; a low Km means high affinity for the substrate.
Effects of the environment
Because an enzyme's activity depends on its shape, anything that changes shape changes activity. Each enzyme has an optimal temperature and optimal pH. Warming speeds collisions and the rate rises, until the weak bonds holding the protein's shape break and the enzyme denatures. Most human enzymes work best near 37°C, while enzymes of hot spring bacteria work best at 70°C or higher (one of them, Taq polymerase, makes the polymerase chain reaction possible). Pepsin in the stomach has a pH optimum near 2; trypsin in the small intestine works best near pH 8.
Many enzymes need nonprotein helpers called cofactors. Inorganic cofactors are metal ions such as zinc, iron, copper and magnesium. Organic cofactors are called coenzymes, and most vitamins are needed in the diet because they are coenzymes or their precursors: niacin for NAD+, riboflavin for FAD, pantothenic acid for coenzyme A, thiamine for the coenzyme of pyruvate dehydrogenase.
Enzyme inhibitors
Chemicals that selectively block enzymes are called inhibitors. If an inhibitor attaches by covalent bonds, the inhibition is usually irreversible; if it attaches by weak bonds, it is reversible.
- Competitive inhibitors resemble the normal substrate and compete for the active site. Because binding is reversible, adding more substrate can outcompete the inhibitor. A competitive inhibitor raises the apparent Km (more substrate is needed to reach half speed) but leaves Vmax unchanged. Statin drugs, which lower cholesterol, are competitive inhibitors of HMG-CoA reductase.
- Noncompetitive inhibitors bind elsewhere on the enzyme and change its shape so that the active site works less effectively. Adding substrate cannot overcome them. They lower Vmax; in the classic pure form Km is unchanged.
- Irreversible inhibitors bond covalently to the enzyme. Nerve gases such as sarin bind a serine in the active site of acetylcholinesterase; penicillin permanently disables the bacterial enzyme that cross links the cell wall; aspirin acetylates cyclooxygenase.
Allosteric regulation and feedback inhibition
Cells control which pathways run by switching enzymes on and off. In allosteric regulation, a regulatory molecule binds an allosteric site separate from the active site and stabilizes either the active or the inactive shape of the enzyme, which is usually built of several subunits. An activator stabilizes the active form and an inhibitor the inactive form; because binding is reversible, activity tracks the regulators' concentrations.
In cooperativity, substrate binding at one active site shifts the other subunits to their active shape, raising their affinity and giving an S shaped (sigmoidal) rate curve. Hemoglobin is not an enzyme, but its cooperative oxygen binding works the same way.
The most common control logic is feedback inhibition, in which a pathway's end product inhibits an early enzyme, often the first committed step. In some bacteria, isoleucine is made from threonine in five steps; accumulating isoleucine binds an allosteric site on threonine deaminase, the first enzyme, and shuts the pathway down until isoleucine is used up. Section 4 shows the same principle at phosphofructokinase.
Cells also regulate enzymes by adding or removing phosphate groups (Chapter 4), by controlling how much enzyme is made, and by localizing enzymes in particular compartments, such as the citric acid cycle enzymes in the mitochondrial matrix.
| Type of control | Where the regulator binds | Effect on kinetics | Overcome by more substrate? | Example |
|---|---|---|---|---|
| Competitive inhibition | Active site | Apparent Km increases; Vmax unchanged | Yes | Statins on HMG-CoA reductase; ethanol competing with methanol at alcohol dehydrogenase |
| Noncompetitive inhibition | Separate site | Vmax decreases; Km unchanged (pure form) | No | Heavy metal ions such as mercury binding enzyme sulfhydryl groups |
| Irreversible inhibition | Usually active site, covalent bond | Enzyme permanently lost | No | Sarin on acetylcholinesterase; penicillin on transpeptidase; aspirin on cyclooxygenase |
| Allosteric activation | Allosteric site | Stabilizes active form | Not applicable | AMP activating phosphofructokinase |
| Feedback inhibition | Allosteric site of an early enzyme | End product shuts off its own pathway | Not applicable | Isoleucine inhibiting threonine deaminase; ATP and citrate inhibiting phosphofructokinase |
Enzymes speed reactions by lowering activation energy through a specific active site that binds substrate by induced fit; they never change ΔG or equilibrium. Activity depends on temperature, pH and cofactors. Competitive inhibitors compete for the active site, noncompetitive inhibitors change the enzyme's shape from another site, and allosteric regulators, especially end products acting through feedback inhibition, let the cell match each pathway's output to its needs.
Section 3Glycolysis, the citric acid cycle and oxidative phosphorylation
An overview of cellular respiration
Cellular respiration is the catabolic process that extracts energy from organic fuel by oxidizing it, ideally all the way to carbon dioxide and water. In aerobic respiration the final electron acceptor is oxygen. Some prokaryotes carry out anaerobic respiration, using a different inorganic final acceptor such as sulfate or nitrate. Glucose is the fuel textbooks follow, but fats and proteins feed into the same pathways (Section 4). The overall equation for glucose is
C6H12O6 + 6 O2 → 6 CO2 + 6 H2O + energy (ATP and heat)
In this reaction glucose is oxidized to carbon dioxide and oxygen is reduced to water. Respiration has three stages:
- Glycolysis, in the cytosol, splits glucose into two molecules of pyruvate.
- Pyruvate oxidation and the citric acid cycle, in the mitochondrial matrix (in the cytosol of prokaryotes), finish the oxidation of the fuel to carbon dioxide.
- Oxidative phosphorylation, at the inner mitochondrial membrane, uses an electron transport chain and chemiosmosis to make most of the ATP.
ATP is made in two ways. In substrate level phosphorylation, an enzyme transfers a phosphate group directly from a phosphorylated substrate to ADP. This happens in glycolysis and in the citric acid cycle and accounts for only about 4 ATP per glucose. In oxidative phosphorylation, the energy of electrons passed down the transport chain builds a proton gradient that drives ATP synthase; this accounts for about 26 to 28 ATP per glucose, nearly 90 percent of the total.
Glycolysis
Glycolysis ("sugar splitting") is a sequence of ten enzyme catalyzed reactions in the cytosol that breaks one six carbon glucose into two three carbon molecules of pyruvate. It does not require oxygen and occurs in nearly every living organism, which suggests it evolved very early, before oxygen was abundant in the atmosphere and before eukaryotic organelles existed. Its steps fall into two phases.
In the energy investment phase (steps 1 to 5), the cell spends 2 ATP. Hexokinase phosphorylates glucose to glucose 6-phosphate, which traps it in the cell because the charged molecule cannot cross the membrane. After an isomerization to fructose 6-phosphate, the enzyme phosphofructokinase (PFK) adds a second phosphate, forming fructose 1,6-bisphosphate. This is the committed step of glycolysis and its main control point. Aldolase then splits the six carbon sugar into two three carbon sugars, glyceraldehyde 3-phosphate (G3P) and dihydroxyacetone phosphate, which is converted to a second G3P.
In the energy payoff phase (steps 6 to 10), each G3P is oxidized by a dehydrogenase that transfers electrons to NAD+, producing NADH, while a phosphate from solution is attached. Two later steps transfer phosphates to ADP by substrate level phosphorylation; the last, catalyzed by pyruvate kinase, produces pyruvate. Because everything after the split happens twice per glucose, the payoff phase yields 4 ATP and 2 NADH.
The net result of glycolysis per glucose is 2 pyruvate, 2 ATP (4 made minus 2 invested) and 2 NADH. No carbon dioxide is released. Glycolysis captures only a small fraction of the energy in glucose; most of it remains in the two pyruvate molecules, waiting to be extracted in the mitochondrion.
Pyruvate oxidation
In eukaryotes, pyruvate enters the mitochondrion by active transport. There, a large multienzyme complex, pyruvate dehydrogenase, carries out three linked steps for each pyruvate: it removes the carboxyl group as CO2 (the first carbon dioxide released in respiration), oxidizes the remaining two carbon fragment while reducing NAD+ to NADH, and attaches the resulting acetyl group to coenzyme A, forming acetyl CoA. Per glucose, this link step produces 2 acetyl CoA, 2 CO2 and 2 NADH. Acetyl CoA is a crossroads molecule: it can enter the citric acid cycle for energy or, when energy is plentiful, be used to make fatty acids.
The citric acid cycle
The citric acid cycle (Krebs cycle) in the mitochondrial matrix completes the oxidation of the fuel in eight steps. First, the two carbon acetyl group joins the four carbon oxaloacetate to form the six carbon citrate. Two carbons are then removed as CO2, and the remaining four carbon molecules are oxidized and rearranged until oxaloacetate is regenerated. The succinate dehydrogenase step, the only one catalyzed by an enzyme in the inner membrane, transfers electrons to FAD.
Each turn of the cycle (one acetyl CoA) produces 2 CO2, 3 NADH, 1 FADH2 and 1 ATP (in animal cells, often made first as GTP and then transferred to ADP). Because one glucose yields two acetyl CoA, the cycle turns twice per glucose: 4 CO2, 6 NADH, 2 FADH2 and 2 ATP. Notice that the cycle itself does not use oxygen, but it stops quickly without oxygen because it depends on a supply of NAD+ and FAD that only the electron transport chain can regenerate.
| Stage | Location (eukaryote) | Input per glucose | Output per glucose | ATP made directly |
|---|---|---|---|---|
| Glycolysis | Cytosol | 1 glucose, 2 ATP, 2 NAD+ | 2 pyruvate, 4 ATP (net 2), 2 NADH | 2 (substrate level) |
| Pyruvate oxidation | Mitochondrial matrix | 2 pyruvate, 2 NAD+, 2 CoA | 2 acetyl CoA, 2 CO2, 2 NADH | 0 |
| Citric acid cycle (2 turns) | Mitochondrial matrix | 2 acetyl CoA, 6 NAD+, 2 FAD | 4 CO2, 6 NADH, 2 FADH2 | 2 (substrate level) |
| Oxidative phosphorylation | Inner mitochondrial membrane | 10 NADH, 2 FADH2, 6 O2 | 6 H2O, NAD+ and FAD returned | About 26 to 28 |
| Total | 6 CO2, 6 H2O | About 30 to 32 |
The electron transport chain
By the end of the citric acid cycle, glucose has been completely oxidized to CO2, but only 4 ATP have been made. Most of the energy is held in the electrons carried by 10 NADH and 2 FADH2. The electron transport chain releases that energy in small, usable steps. In eukaryotes it is a series of protein complexes embedded in the folded inner mitochondrial membrane (the cristae, whose folding provides enormous surface area); in prokaryotes it lies in the plasma membrane. Most carriers are proteins with tightly bound prosthetic groups, such as iron sulfur clusters and the heme groups of proteins called cytochromes.
NADH donates its electrons to complex I (NADH dehydrogenase). FADH2, bound in complex II (succinate dehydrogenase), adds its electrons at a lower energy level. Both complexes pass electrons to ubiquinone (Q), a small, mobile, lipid soluble carrier that moves within the membrane. Q delivers electrons to complex III, which hands them to cytochrome c, a small mobile protein on the outer face of the inner membrane. Cytochrome c carries them to complex IV (cytochrome oxidase), which passes them to oxygen, the final electron acceptor. Oxygen picks up a pair of hydrogen ions and becomes water. Each carrier is more electronegative than the one before, so electrons fall step by step down an energy gradient of about 53 kcal/mol from NADH to oxygen.
The chain itself makes no ATP. Its job is to use the energy of falling electrons to pump hydrogen ions (protons) from the matrix across the inner membrane into the intermembrane space. Complexes I, III and IV act as proton pumps; complex II does not, which is one reason FADH2 yields less ATP than NADH.
Chemiosmosis and ATP synthase
Proton pumping creates a proton motive force: a higher H+ concentration and positive charge in the intermembrane space. Protons cannot cross the lipid bilayer, so their only route back is through ATP synthase. As protons flow through it, they turn a rotor and internal rod, and the rotation changes the shape of the catalytic knob in the matrix so that it joins ADP and Pi into ATP. Using a hydrogen ion gradient across a membrane to drive cellular work is called chemiosmosis; it also makes ATP in chloroplasts and powers bacterial flagella.
Each NADH supplies enough proton pumping to make about 2.5 ATP, and each FADH2 about 1.5 ATP. The two NADH from glycolysis are made in the cytosol and must pass their electrons into the mitochondrion through a shuttle; depending on the cell type the shuttle delivers them to NAD+ (full value) or to FAD (lower value). This is why the total is given as a range: about 30 to 32 ATP per glucose (older books quote 36 to 38, based on earlier estimates). Respiration captures roughly 34 percent of the energy in glucose as ATP; the rest is released as heat, which helps mammals and birds keep a constant body temperature.
Glycolysis in the cytosol splits glucose into 2 pyruvate with a net gain of 2 ATP and 2 NADH. Pyruvate oxidation and two turns of the citric acid cycle in the matrix release all six carbons as CO2 and load the carriers (10 NADH and 2 FADH2 in total). The electron transport chain uses electron energy to pump protons, and ATP synthase uses the proton gradient (chemiosmosis) to make most of the cell's ATP, about 30 to 32 per glucose, with oxygen as the final electron acceptor.
Section 4Fermentation and the regulation of respiration
Why cells need to regenerate NAD+
Without oxygen, the electron transport chain stops and NADH accumulates. Glycolysis can still make 2 ATP per glucose without oxygen, but it needs a steady supply of NAD+, and the cell holds only a small pool. Cells solve this problem either by anaerobic respiration, in which a prokaryote uses a transport chain with a final acceptor other than oxygen, or by fermentation, in which NADH simply hands its electrons to pyruvate or a derivative of it.
Lactic acid and alcohol fermentation
Fermentation consists of glycolysis plus one or two reactions that regenerate NAD+ by transferring electrons from NADH to an organic molecule. It makes no additional ATP; its only purpose is to keep glycolysis running. The two most common types differ in what accepts the electrons.
In lactic acid fermentation, lactate dehydrogenase reduces pyruvate directly to lactate, oxidizing NADH to NAD+; no CO2 is released. Lactic acid bacteria do this when they turn milk into yogurt and cheese. Human skeletal muscle switches to lactic acid fermentation when it uses ATP faster than oxygen arrives, as in a sprint, and the liver later converts the lactate back to glucose. Lactate is not the cause of next day soreness, which reflects small injuries to muscle fibers.
In alcohol fermentation, pyruvate first loses CO2 to become acetaldehyde, which is then reduced by NADH to ethanol, regenerating NAD+. Yeasts carry out alcohol fermentation; the CO2 raises bread dough and the ethanol is the basis of brewing and winemaking.
Comparing fermentation, anaerobic and aerobic respiration
All three processes use glycolysis to make a net 2 ATP per glucose with NAD+ as the oxidizing agent. They differ in the final electron acceptor: an organic molecule in fermentation, oxygen or another inorganic molecule in respiration. Aerobic respiration yields about 16 times more ATP per glucose than fermentation, so fermenting cells must consume glucose much faster.
Organisms differ in their dependence on oxygen. Obligate anaerobes, such as the Clostridium species that cause tetanus and botulism, cannot use oxygen and are often poisoned by it. Facultative anaerobes, such as yeasts, E. coli and human muscle cells, switch between respiration and fermentation depending on oxygen supply. Obligate aerobes require oxygen.
| Feature | Aerobic respiration | Anaerobic respiration | Fermentation |
|---|---|---|---|
| Final electron acceptor | O2 (reduced to H2O) | Inorganic molecule other than O2 (such as SO42− or NO3−) | Organic molecule (pyruvate or acetaldehyde) |
| Electron transport chain? | Yes | Yes | No |
| Citric acid cycle? | Yes | Usually | No |
| ATP per glucose | About 30 to 32 | Intermediate, varies by acceptor | 2 |
| End products | CO2, H2O | CO2 plus reduced acceptor (such as H2S) | Lactate, or ethanol and CO2 |
| Who uses it | Most eukaryotes, many prokaryotes | Some prokaryotes (sulfate reducers, denitrifiers) | Yeasts, many bacteria, muscle cells under oxygen debt |
Other fuels feed the same pathways
Glycolysis and the citric acid cycle are metabolic hubs. Free glucose is only one of many fuels. Starch and glycogen are hydrolyzed to glucose, and other sugars such as fructose and galactose are converted into glycolytic intermediates.
- Proteins are digested to amino acids, which are used mostly to build new proteins. Excess amino acids are deaminated: the amino group is removed and excreted (in mammals, as urea made in the liver), and the remaining carbon skeleton enters glycolysis or the citric acid cycle as pyruvate, acetyl CoA or a cycle intermediate.
- Fats are split into glycerol and fatty acids. Glycerol is converted to G3P, a glycolytic intermediate. Fatty acids are broken down by beta oxidation in the mitochondrial matrix into two carbon fragments that enter the cycle as acetyl CoA; each round of beta oxidation also yields one NADH and one FADH2. Because fatty acids are highly reduced (rich in C to H bonds), a gram of fat yields more than twice as much ATP as a gram of carbohydrate (about 9 versus 4 kcal per gram). The 16 carbon fatty acid palmitate yields about 106 ATP.
Regulation of cellular respiration
Cells are thrifty: they make ATP when it is needed and slow down when it is plentiful. The main control mechanism is feedback inhibition of key enzymes by allosteric regulators (Section 2). The most important control point is phosphofructokinase (PFK), which catalyzes the committed step of glycolysis.
- PFK is inhibited by ATP. When ATP is abundant, respiration slows.
- PFK is activated by AMP (and ADP). AMP accumulates when ATP is being used up quickly, so a high AMP level is the cell's signal to speed up.
- PFK is inhibited by citrate, the first product of the citric acid cycle. If citrate builds up in the cytosol, the cycle is running faster than needed, and glycolysis slows to match it. This synchronizes the two stages.
Other control points act later: pyruvate dehydrogenase is inhibited by acetyl CoA and NADH, and oxidative phosphorylation slows automatically when ADP is scarce. Hormones such as epinephrine (Chapter 4) add another layer by mobilizing glucose from glycogen during exercise or stress.
Fermentation keeps glycolysis running without oxygen by transferring electrons from NADH to an organic acceptor, producing lactate or ethanol and CO2 but only 2 ATP per glucose. Anaerobic respiration uses a transport chain with a non-oxygen inorganic acceptor. Proteins and fats enter respiration at glycolysis or the citric acid cycle, and the whole system is tuned by feedback, most importantly at phosphofructokinase, which is inhibited by ATP and citrate and activated by AMP.
Section 5Photosynthesis: light reactions, the Calvin cycle, C4 and CAM plants
The process that feeds the biosphere
Photosynthesis converts light energy into the chemical energy of sugars. Plants, algae and cyanobacteria are photoautotrophs: they make organic molecules from CO2 using light, and they are the producers of almost every ecosystem. Heterotrophs, including animals and fungi, obtain organic molecules by eating other organisms, so they depend on photosynthesis too.
The overall equation is commonly written
6 CO2 + 12 H2O + light energy → C6H12O6 + 6 O2 + 6 H2O
or, simplified, 6 CO2 + 6 H2O → C6H12O6 + 6 O2. Experiments using water labeled with the heavy oxygen isotope 18O showed that the O2 released comes from water, not from carbon dioxide: water is oxidized, and its light-energized electrons reduce CO2 to sugar.
Chloroplasts and pigments
In plants, photosynthesis occurs mainly in the mesophyll cells of leaves. CO2 enters and O2 exits through pores called stomata. A chloroplast has two outer membranes around a fluid, the stroma, which holds the Calvin cycle enzymes. Inside are flattened membrane sacs, thylakoids, stacked into grana; their interior is the thylakoid space. The pigment chlorophyll sits in the thylakoid membranes.
Light travels in packets called photons; the shorter the wavelength, the more energy each photon carries. Visible light spans roughly 380 to 750 nanometers. Chlorophyll absorbs violet blue and red light most strongly and reflects green. An absorption spectrum plots how much light a pigment absorbs at each wavelength, while an action spectrum plots how effectively each wavelength drives photosynthesis; the two match closely in the blue and red.
The main pigment is chlorophyll a. Chlorophyll b and the yellow and orange carotenoids are accessory pigments that broaden the wavelengths captured; carotenoids also provide photoprotection by dissipating excess light energy. When a pigment absorbs a photon, an electron is boosted to an excited state. In isolated chlorophyll it falls back, releasing heat and red fluorescence; in the membrane, the energy is put to work.
Photosystems and linear electron flow
Chlorophyll is organized into photosystems: a reaction center complex surrounded by light harvesting complexes that funnel absorbed energy to a special pair of chlorophyll a molecules. There an excited electron is transferred to a primary electron acceptor, the step that converts light energy into chemical energy.
There are two photosystems, numbered in order of discovery rather than action. Photosystem II (PS II) has the reaction center chlorophyll P680 (absorbing best at 680 nm), and photosystem I (PS I) has P700. Their main path, linear electron flow, runs as follows:
- A photon excites PS II, and an excited electron from P680 passes to its primary acceptor, leaving P680+, the strongest biological oxidizing agent known.
- An enzyme complex on the lumen side splits water into 2 electrons, 2 H+ and an oxygen atom. The electrons refill P680+, the protons stay in the thylakoid space, and two oxygen atoms combine to form O2, released as a by-product.
- The excited electrons travel down an electron transport chain: plastoquinone (Pq), the cytochrome complex, and plastocyanin (Pc). As they pass through the cytochrome complex, their energy is used to pump protons from the stroma into the thylakoid space.
- Meanwhile, light energy excites PS I, whose P700 passes an electron to its primary acceptor. The resulting P700+ is refilled by the electron arriving from PS II through plastocyanin.
- The re-energized electrons pass through a short chain including the iron protein ferredoxin (Fd) to the enzyme NADP+ reductase, which reduces NADP+ to NADPH on the stroma side.
The thylakoid space gains protons from water splitting and from pumping by the cytochrome complex. This gradient drives ATP synthase, whose catalytic knob faces the stroma, so ATP is made where the Calvin cycle needs it. Light-driven chemiosmotic ATP synthesis is called photophosphorylation.
Cyclic electron flow and the comparison with mitochondria
In cyclic electron flow, excited electrons from PS I return from ferredoxin to the cytochrome complex instead of going to NADP+. They pass back to P700, pumping protons on the way. Cyclic flow uses only PS I, produces ATP but no NADPH and no O2. It matters because the Calvin cycle consumes more ATP than NADPH (a ratio of 18 to 12 per glucose), and linear flow alone does not supply enough ATP.
Chloroplasts and mitochondria both make ATP by chemiosmosis with similar electron transport chains and ATP synthases. Mitochondria take high energy electrons from food and pump protons from the matrix into the intermembrane space; chloroplasts take electrons from water, energized by light, and pump protons from the stroma into the thylakoid space, where the pH falls to about 5 while the stroma rises to about 8.
The Calvin cycle
The Calvin cycle uses the ATP and NADPH from the light reactions to build sugar from CO2. It is anabolic, and like the citric acid cycle it regenerates its starting material with each turn. Its direct product is not glucose but a three carbon sugar, glyceraldehyde 3-phosphate (G3P). To make one net molecule of G3P, the cycle must fix three molecules of CO2 and turn three times. It has three phases.
- Carbon fixation. Each CO2 is attached to a five carbon sugar, ribulose bisphosphate (RuBP). The enzyme is rubisco (RuBP carboxylase oxygenase), probably the most abundant protein on Earth. The six carbon product is so unstable that it immediately splits into two molecules of 3-phosphoglycerate (3-PGA). Three CO2 therefore yield six 3-PGA.
- Reduction. Each 3-PGA is phosphorylated by ATP and then reduced by electrons from NADPH, forming G3P. For six 3-PGA, this uses 6 ATP and 6 NADPH and produces 6 G3P. One of the six is the net gain; it leaves the cycle to be used by the plant cell.
- Regeneration of RuBP. The other five G3P (15 carbons) are rearranged in a complex series of reactions into three RuBP (15 carbons), at a cost of 3 more ATP. The cycle is ready to fix more CO2.
For each net G3P the cycle consumes 9 ATP and 6 NADPH. Making one glucose (two G3P) requires 6 CO2, 18 ATP and 12 NADPH. G3P is then used to make glucose, sucrose, starch and cellulose.
Photorespiration: rubisco's weakness
Rubisco evolved when the atmosphere held almost no oxygen, and it cannot fully tell O2 from CO2. When it adds O2 to RuBP, it forms a two carbon compound that the plant salvages at a cost of ATP, releasing CO2 without making sugar. This is photorespiration. It becomes severe on hot, dry days, when plants close their stomata to save water: CO2 in the leaf is used up, O2 accumulates, and heat further favors the reaction with oxygen. In some crops photorespiration drains off as much as half of the fixed carbon.
Most plants, including rice, wheat and soybeans, are C3 plants, so named because the first stable product of carbon fixation is the three carbon 3-PGA. Two groups of plants have evolved ways to keep rubisco supplied with CO2.
C4 plants: separating steps in space
C4 plants, such as corn, sugarcane and many grasses, have Kranz anatomy: bundle sheath cells packed around each vein, surrounded by mesophyll cells. In the mesophyll, PEP carboxylase adds CO2 to phosphoenolpyruvate (PEP), forming the four carbon oxaloacetate, usually converted to malate. PEP carboxylase has a high affinity for CO2 and none for O2, so it keeps fixing carbon even when stomata are nearly closed. The four carbon compound moves into the bundle sheath cells and releases CO2, keeping CO2 high around rubisco and minimizing photorespiration. Regenerating PEP costs extra ATP, a price worth paying in hot, sunny climates.
CAM plants: separating steps in time
CAM plants (crassulacean acid metabolism), such as pineapples, cacti and other succulents, open their stomata at night, when less water evaporates. They fix CO2 with PEP carboxylase into organic acids stored in vacuoles. During the day, with stomata closed, the acids release CO2 to the Calvin cycle in the same cells. CAM plants trade growth rate for water conservation.
| Feature | C3 plants | C4 plants | CAM plants |
|---|---|---|---|
| First stable product of CO2 fixation | 3-PGA (3 carbons) | Oxaloacetate (4 carbons) | Oxaloacetate, stored as malic acid |
| Initial fixing enzyme | Rubisco | PEP carboxylase | PEP carboxylase |
| How fixation and Calvin cycle are separated | Not separated | In space (mesophyll vs bundle sheath cells) | In time (night vs day, same cell) |
| Stomata open | Day | Day | Night |
| Photorespiration | Significant in heat and drought | Minimal | Minimal |
| Extra energy cost | None | About 2 extra ATP per CO2 fixed | Extra ATP, plus slow growth |
| Examples | Rice, wheat, soybean, oak, most trees | Corn, sugarcane, sorghum, crabgrass | Pineapple, cacti, jade plant, agave |
In the thylakoid membranes, light excites PS II and PS I; water is split to supply electrons and release O2, and linear electron flow produces NADPH while chemiosmosis produces ATP. In the stroma, the Calvin cycle uses 9 ATP and 6 NADPH to turn 3 CO2 into one G3P through fixation by rubisco, reduction and regeneration of RuBP. Because rubisco also reacts with O2, C4 plants concentrate CO2 in bundle sheath cells (separation in space) and CAM plants fix CO2 at night (separation in time) to limit photorespiration.
The chapter in one breath
- Metabolism combines catabolic pathways that release energy and anabolic pathways that consume it; energy is conserved (first law) but every transfer increases the entropy of the universe (second law).
- ΔG = ΔH − TΔS; a negative ΔG marks an exergonic, spontaneous reaction, a positive ΔG an endergonic one, and ΔG = 0 means equilibrium.
- ATP hydrolysis releases about 7.3 kcal/mol, and cells use it through phosphorylation to couple exergonic and endergonic processes; ADP is recycled to ATP continuously.
- Enzymes lower activation energy through an active site that binds substrate by induced fit; they never change ΔG or equilibrium.
- Competitive inhibitors occupy the active site (overcome by more substrate); noncompetitive inhibitors bind elsewhere; allosteric regulation and feedback inhibition tune pathways to the cell's needs.
- Glycolysis in the cytosol yields 2 pyruvate, a net 2 ATP and 2 NADH per glucose; pyruvate oxidation and the citric acid cycle in the matrix release 6 CO2 and load NADH and FADH2.
- The electron transport chain passes electrons to O2 while pumping protons; ATP synthase uses the gradient (chemiosmosis) to make most of the 30 to 32 ATP per glucose.
- Fermentation regenerates NAD+ without oxygen, producing lactate or ethanol and CO2 and only 2 ATP per glucose.
- Fats and proteins feed the same pathways, and phosphofructokinase is the main control point (inhibited by ATP and citrate, activated by AMP).
- The light reactions in the thylakoids split water, release O2 and make ATP and NADPH using photosystems II and I.
- The Calvin cycle in the stroma fixes CO2 with rubisco and spends 9 ATP and 6 NADPH per G3P.
- C4 plants (separation in space) and CAM plants (separation in time) use PEP carboxylase to limit photorespiration.
Words worth knowing
| Term | What it means |
|---|---|
| Activation energy | The energy reactants must absorb to reach the transition state before a reaction can proceed; enzymes lower it. |
| Active site | The pocket on an enzyme where the substrate binds and catalysis occurs. |
| Allosteric regulation | Control of a protein's activity by a molecule binding at a site other than the active site, stabilizing an active or inactive shape. |
| ATP synthase | A membrane enzyme complex that uses the flow of protons down their gradient to make ATP from ADP and phosphate. |
| Calvin cycle | The cycle of reactions in the chloroplast stroma that uses ATP and NADPH to fix CO2 into the sugar G3P. |
| CAM plant | A plant that opens its stomata at night and stores fixed CO2 as organic acids for use in the Calvin cycle during the day. |
| Chemiosmosis | The use of energy stored as a hydrogen ion gradient across a membrane to drive cellular work, especially ATP synthesis. |
| Citric acid cycle | An eight step cycle in the mitochondrial matrix that oxidizes acetyl CoA to CO2 and produces NADH, FADH2 and ATP. |
| Competitive inhibitor | A molecule that resembles the substrate and reversibly occupies the active site; extra substrate can overcome it. |
| C4 plant | A plant that first fixes CO2 into a four carbon compound in mesophyll cells and releases it to the Calvin cycle in bundle sheath cells. |
| Electron transport chain | A series of membrane carriers that pass electrons down an energy gradient and use the energy to pump protons. |
| Endergonic reaction | A reaction with a positive ΔG that absorbs free energy and is not spontaneous. |
| Energy coupling | Using an exergonic process, usually ATP hydrolysis, to drive an endergonic one. |
| Exergonic reaction | A reaction with a negative ΔG that releases free energy and is spontaneous. |
| Feedback inhibition | Shutdown of a metabolic pathway by its own end product, which inhibits an early enzyme. |
| Fermentation | Glycolysis plus reactions that regenerate NAD+ by transferring electrons to an organic molecule, without an electron transport chain. |
| Free energy (G) | The portion of a system's energy available to do work at constant temperature and pressure. |
| Glycolysis | The ten step splitting of glucose into two pyruvate in the cytosol, with a net gain of 2 ATP and 2 NADH. |
| NAD+ | An electron carrier coenzyme that accepts two electrons and a proton to become NADH during the oxidation of fuels. |
| Oxidative phosphorylation | ATP synthesis powered by electron transport and chemiosmosis, with O2 as the final electron acceptor. |
| Photorespiration | A wasteful pathway in which rubisco adds O2 instead of CO2 to RuBP, consuming ATP and releasing CO2 without making sugar. |
| Photosystem | A reaction center complex surrounded by light harvesting complexes in the thylakoid membrane; PS II contains P680 and PS I contains P700. |
| Rubisco | The enzyme that fixes CO2 onto RuBP in the first step of the Calvin cycle; it can also react with O2. |
| Substrate level phosphorylation | ATP formation by direct enzymatic transfer of a phosphate group from a substrate to ADP. |
Check yourself
Cell Communication and Cell Division
Your body contains tens of trillions of cells, and none of them acts alone: each one is constantly reading chemical messages and deciding whether to grow, divide, change its behavior or die. This chapter explains how cells receive and relay signals, how those signals control the cell cycle, what happens when that control fails in cancer, and how meiosis produces the genetic variety that sexual reproduction depends on.
By the end of this chapter you can
- Compare local and long distance signaling and describe the three stages of cell signaling: reception, transduction and response.
- Distinguish G protein-coupled receptors, receptor tyrosine kinases, ligand-gated ion channels and intracellular receptors.
- Explain how phosphorylation cascades and second messengers such as cAMP, Ca2+ and IP3 relay and amplify a signal.
- Describe nuclear and cytoplasmic responses to signals and contrast apoptosis with necrosis, including the intrinsic and extrinsic pathways.
- Describe the phases of the cell cycle, the stages of mitosis and the differences between cytokinesis in animal and plant cells.
- Explain how cyclins, cyclin-dependent kinases and checkpoints regulate the cell cycle.
- Relate proto-oncogenes and tumor suppressor genes to the multistep development of cancer.
- Compare mitosis and meiosis, and describe the three main types of sexual life cycle.
- Explain how crossing over, independent assortment and random fertilization generate genetic variation, and how nondisjunction produces aneuploidy.
Section 1Signals, receptors and signal transduction
Why and how cells talk
Cell signaling is ancient. Yeast cells of opposite mating types find each other by secreting chemical signals, and many bacteria use quorum sensing: they release small molecules whose concentration reports population density, and at high density the population switches on genes for biofilm formation, light production or toxin release. The signaling machinery of yeast and mammals is strikingly similar, suggesting it was present in their common ancestor.
In multicellular organisms, signals act over different distances:
- Direct contact. Cells connected by gap junctions (animals) or plasmodesmata (plants) pass small signaling molecules directly through the cytoplasm. In cell to cell recognition, membrane bound molecules on one cell bind receptors on an adjacent cell; immune cells and developing tissues communicate this way.
- Paracrine signaling. A cell secretes a local regulator, such as a growth factor, that acts on nearby target cells.
- Synaptic signaling. A nerve cell releases a neurotransmitter across a narrow synapse to a single target cell, a very fast, specific form of local signaling.
- Autocrine signaling. A cell responds to a signal it secreted itself, as some immune cells and many cancer cells do.
- Endocrine (hormonal) signaling. Specialized cells release hormones that travel through the blood to target cells anywhere in the body. Plants use hormones too, moving them through vascular tissue or diffusing them through the air (ethylene).
Whatever the distance, a cell responds only if it has the right receptor. Insulin floods through the entire bloodstream, but only cells bearing insulin receptors respond. This is the first source of specificity in signaling.
Three stages: reception, transduction and response
Much of what we know about signaling began with studies of how epinephrine (adrenaline) makes liver cells break down glycogen. Epinephrine activated the enzyme glycogen phosphorylase only in intact cells; the hormone never entered the cell, so something at the surface had to relay the message inside. From this work came a three stage model:
- Reception. The signaling molecule, called a ligand, binds a receptor protein, changing the receptor's shape.
- Transduction. The change in the receptor sets off a sequence of changes in a series of molecules, the signal transduction pathway, that converts the signal into a form that can bring about a response.
- Response. The transduced signal triggers a specific cellular activity: activating an enzyme, rearranging the cytoskeleton, or turning on genes.
Receptors in the plasma membrane
Most signaling molecules are water soluble and too large or too polar to cross the membrane, so their receptors are transmembrane proteins. Ligand binding changes the receptor's shape or causes receptors to group together, and that change is passed inside. Three major classes are tested most often.
G protein-coupled receptors (GPCRs) are the largest family of cell surface receptors. Each is a single polypeptide that crosses the membrane seven times. On the cytoplasmic side it works with a G protein, a protein that binds the energy-rich nucleotide GTP. When the G protein holds GDP it is inactive. When a ligand binds the receptor, the receptor changes shape and causes the G protein to swap GDP for GTP. The activated G protein (specifically its alpha subunit) moves along the membrane and activates an enzyme, such as adenylyl cyclase. The G protein is also a GTPase: it hydrolyzes its own GTP to GDP within seconds and so turns itself off, which keeps the response brief unless the signal continues. GPCRs detect hormones such as epinephrine and glucagon, neurotransmitters, odors and light (rhodopsin in the eye is a GPCR). About a third of all prescription drugs act on GPCRs.
Receptor tyrosine kinases (RTKs) are membrane receptors with enzymatic activity. A kinase is an enzyme that transfers phosphate groups from ATP to a protein; tyrosine kinases attach them to the amino acid tyrosine. An RTK has a ligand binding site outside the cell, one helix crossing the membrane and a tail inside with several tyrosines. When ligands bind two receptor monomers, the two associate into a dimer. Each tail then phosphorylates tyrosines on the other tail (autophosphorylation). The fully activated receptor is recognized by specific relay proteins, each of which binds a particular phosphorylated tyrosine and becomes activated in turn. Because one RTK can activate ten or more different pathways at once, these receptors suit processes that need several responses together, such as cell growth and division. Insulin and many growth factors act through RTKs, and abnormal RTKs that dimerize without a ligand contribute to some cancers.
Ligand-gated ion channels are receptors that act as gates. When the ligand binds, the channel opens or closes, letting specific ions such as Na+, K+, Ca2+ or Cl− flow through. The resulting change in ion concentration or membrane voltage is itself the signal. These receptors are essential in the nervous system: acetylcholine released at a neuromuscular junction opens such channels in the muscle cell, and the influx of sodium triggers contraction.
Intracellular receptors
Some signals are small or hydrophobic enough to cross the membrane. Steroid hormones (such as testosterone, estrogen and cortisol), thyroid hormones and the gas nitric oxide (NO) bind receptors in the cytoplasm or nucleus. A hormone-receptor complex typically acts as a transcription factor, a protein that binds specific DNA sequences and turns particular genes on or off. Testosterone, for example, enters a cell, binds its receptor in the cytoplasm, and the complex moves into the nucleus to activate genes that produce male sex characteristics. Responses through intracellular receptors are usually slower (hours) but longer lasting than those through membrane receptors, because they require making new proteins.
| Receptor type | Location and structure | How it relays the signal | Example ligands |
|---|---|---|---|
| G protein-coupled receptor | Plasma membrane; one polypeptide with 7 transmembrane helices | Activates a G protein (GDP swapped for GTP), which activates an enzyme such as adenylyl cyclase or phospholipase C | Epinephrine, glucagon, many neurotransmitters, odorants, light (rhodopsin) |
| Receptor tyrosine kinase | Plasma membrane; one helix per monomer, kinase tail inside | Dimerizes and autophosphorylates tyrosines; relay proteins bind and trigger several pathways | Insulin, epidermal growth factor, platelet-derived growth factor |
| Ligand-gated ion channel | Plasma membrane; channel with a gate | Opens or closes to let specific ions pass, changing ion concentration or voltage | Acetylcholine (nicotinic receptor), GABA, glutamate |
| Intracellular receptor | Cytoplasm or nucleus | Hormone-receptor complex acts as a transcription factor (or, for NO, activates an enzyme) | Steroid hormones, thyroid hormone, nitric oxide |
Transduction: phosphorylation cascades
Transduction usually involves several steps, and at each step a protein changes shape, most often by phosphorylation. In a phosphorylation cascade, an activated protein kinase phosphorylates and activates a second kinase, which activates a third, and so on, until the last protein in the series (often an enzyme or transcription factor) carries out the response. Most cytoplasmic kinases phosphorylate serine or threonine rather than tyrosine. One of the best studied cascades is the MAP kinase pathway, which runs from growth factor RTKs through the small G protein Ras and a three kinase relay to transcription factors that promote cell division.
Signals must be switched off as well as on. Protein phosphatases remove phosphate groups and inactivate kinases, so the activity of each relay protein depends on the balance between its kinase and its phosphatase. When the signal molecule leaves the receptor, the phosphatases win, and the pathway returns to its resting state, ready for the next signal.
Second messengers
Many pathways also use small, nonprotein, water soluble molecules or ions called second messengers (the extracellular ligand being the "first messenger"). Because they are small, they spread quickly through the cytosol.
Cyclic AMP (cAMP) was the first second messenger discovered. Adenylyl cyclase, activated by a G protein, converts ATP to cAMP, and the cAMP concentration can rise twentyfold within seconds. cAMP's main target is protein kinase A (PKA), which phosphorylates other proteins. In the liver, PKA starts a cascade that activates glycogen phosphorylase. The enzyme phosphodiesterase quickly converts cAMP to AMP, ending the signal; caffeine inhibits phosphodiesterase, prolonging cAMP signals. Some G proteins (inhibitory G proteins) lower cAMP instead.
Calcium ions are an even more widely used second messenger. Cells keep cytosolic Ca2+ very low by pumping it out of the cell and into the endoplasmic reticulum. In one common pathway, a GPCR activates the enzyme phospholipase C, which cleaves the membrane phospholipid PIP2 into two second messengers: diacylglycerol (DAG) and inositol trisphosphate (IP3). IP3 diffuses to the ER and opens a ligand-gated calcium channel, releasing Ca2+ into the cytosol. Calcium, often bound to the small protein calmodulin, then activates many proteins, while DAG together with Ca2+ activates protein kinase C.
Cells signal by direct contact, locally (paracrine and synaptic) and over long distances (hormones), and respond only if they carry the right receptor. Signaling proceeds through reception, transduction and response. GPCRs act through G proteins, RTKs through dimerization and autophosphorylation, and ligand-gated channels by opening for ions; small hydrophobic signals bind intracellular receptors that act as transcription factors. Phosphorylation cascades, balanced by phosphatases, and second messengers such as cAMP and Ca2+ relay the signal inside.
Section 2Cellular responses and apoptosis
Nuclear and cytoplasmic responses
Every signal transduction pathway ends by regulating some activity in the cell. Many pathways end in the nucleus: the final activated molecule is a transcription factor that switches genes on or off, so the cell begins or stops making particular proteins. Growth factors that stimulate cell division typically work this way, through the MAP kinase cascade. Other pathways act in the cytoplasm, changing the activity of proteins that already exist: opening an ion channel, activating a metabolic enzyme such as glycogen phosphorylase, or reorganizing the cytoskeleton. When yeast cells receive mating factor, for example, their cytoskeleton directs growth toward the source of the signal, producing projections called shmoos that grow toward a cell of the opposite mating type.
Amplification
Multistep pathways do something a single switch cannot: they amplify the signal. Each activated enzyme catalyzes many reactions before it is switched off, so the number of activated molecules grows at every step. In the epinephrine pathway, a few hormone molecules activate many G proteins, each adenylyl cyclase makes many cAMP molecules, each PKA phosphorylates many kinases, and so on. In the end, one epinephrine molecule can lead to the release of hundreds of millions of glucose 1-phosphate molecules from glycogen. This is why hormones are effective at extremely low concentrations, often less than a billionth of a mole per liter.
Specificity and coordination
The same signal can produce very different responses in different cells. Epinephrine stimulates glycogen breakdown in the liver, speeds and strengthens the heartbeat, and constricts some blood vessels while dilating others, because each cell type carries a different set of receptors, relay proteins and response proteins. Pathways can branch, converge, and interact with one another (cross talk), and scaffolding proteins hold several relay proteins together, increasing the speed and accuracy of signaling.
A response must also stop. Ligands leave their receptors, G proteins hydrolyze their GTP, phosphodiesterase destroys cAMP, phosphatases remove phosphates and calcium is pumped back into the ER, so the cell always responds to the current level of the signal.
Apoptosis: programmed cell death
One of the most dramatic responses to a signal is the decision to die. Apoptosis is a regulated, orderly self-destruction program. The cell shrinks, its chromatin condenses and its DNA is chopped into fragments, its membrane forms bulges called blebs, and the cell breaks into membrane-enclosed apoptotic bodies. The cell also flips the phospholipid phosphatidylserine to the outer face of its membrane, an "eat me" signal that tells phagocytes to engulf the remains. Because the contents never spill into the surrounding tissue, apoptosis does not cause inflammation.
Apoptosis is essential for normal life:
- Sculpting during development. Cells in the webbing between the developing fingers and toes die by apoptosis; when this fails, the digits remain joined. Many more neurons are produced in the developing brain than survive, and those that fail to make proper connections die.
- Removing dangerous cells. Cells with irreparable DNA damage, virus infected cells, and developing immune cells that would attack the body's own tissues are eliminated.
- Tissue turnover. Billions of cells die by apoptosis every day in an adult and are replaced by cell division.
The molecular basis of apoptosis was first worked out in the nematode Caenorhabditis elegans. Of the 1,090 somatic cells formed during the development of a hermaphrodite worm, exactly 131 die by apoptosis, always the same cells. Researchers identified genes required for this death: ced-3 and ced-4 (ced stands for "cell death") encode proteins that carry out apoptosis, while ced-9 encodes a protein on the outer mitochondrial membrane that acts as a brake. As long as Ced-9 is active, the cell lives; a death signal inactivates Ced-9 and releases the killing machinery. Ced-3 is a caspase, the main type of protease (protein cutting enzyme) that executes apoptosis.
The intrinsic and extrinsic pathways in mammals
Mammals use the same logic with many more players. Their apoptotic signals arrive by two main routes, both of which end by activating caspases.
The intrinsic (mitochondrial) pathway is triggered by signals from inside the cell, such as irreparable DNA damage (often detected through the protein p53), severe stress or the misfolding of proteins in the ER. Proteins of the Bcl-2 family control the outcome. Pro-apoptotic members such as Bax and Bak form pores in the outer mitochondrial membrane, while anti-apoptotic members such as Bcl-2 itself (the mammalian counterpart of Ced-9) block them. When pro-death signals win, cytochrome c leaks from the intermembrane space into the cytosol. There it combines with the protein Apaf-1 (the counterpart of Ced-4) to form a wheel-shaped complex called the apoptosome, which activates the initiator caspase-9. Notice that cytochrome c has two jobs: inside the mitochondrion it carries electrons in respiration (Chapter 3), and outside it triggers death.
The extrinsic (death receptor) pathway is triggered by signals from other cells. Immune cells such as cytotoxic T cells display a ligand (Fas ligand), and cells such as macrophages release tumor necrosis factor; these bind death receptors on the target cell, which recruit adapter proteins and activate the initiator caspase-8.
Both initiator caspases activate the executioner caspases (such as caspase-3), which cut hundreds of cellular proteins, activate nucleases that fragment DNA, and dismantle the cytoskeleton and nuclear lamina. Each caspase is made as an inactive precursor that must itself be cut to become active, and an active caspase can activate many more, so the process, once committed, proceeds rapidly and irreversibly.
Apoptosis compared with necrosis
Not all cell death is programmed. Necrosis is uncontrolled death from severe injury such as loss of blood supply, toxins or trauma. The cell swells, its organelles and membrane rupture, and the spilled contents trigger inflammation. A heart attack kills cardiac muscle mostly by necrosis.
| Feature | Apoptosis | Necrosis |
|---|---|---|
| Trigger | Physiological or damage signals; regulated program | Severe injury (ischemia, toxins, trauma) |
| Energy requirement | Requires ATP | Passive, energy failure |
| Cell size | Shrinks | Swells |
| Membrane | Intact; forms blebs and apoptotic bodies | Ruptures |
| DNA | Cut into regular fragments by activated nucleases | Randomly degraded |
| Inflammation | None; neat removal by phagocytes | Yes; contents spill into tissue |
| Key molecules | Caspases, Bcl-2 family, cytochrome c, death receptors | No dedicated program |
Signaling pathways end in nuclear responses (gene expression) or cytoplasmic responses (enzyme, channel or cytoskeleton activity). Multistep pathways amplify signals enormously, different protein sets in different cells give one signal many effects, and fast shut-off mechanisms keep responses current. Apoptosis is a caspase-driven self-destruction program triggered by internal damage (intrinsic pathway, controlled by the Bcl-2 family and cytochrome c release) or by death receptors (extrinsic pathway); unlike necrosis, it is neat and causes no inflammation.
Section 3The cell cycle and mitosis
Why cells divide, and what they must copy
"Every cell from a cell" is one of the founding ideas of biology. Cell division lets a single fertilized egg become a body of trillions of cells, replaces cells lost to wear and injury, and, in single-celled organisms, is reproduction itself. The life of a cell from its formation by division until its own division into two daughter cells is the cell cycle. To divide successfully, a cell must copy its DNA exactly and then separate the two copies so that each daughter cell receives one complete set.
A cell's total DNA is its genome. A human cell holds about 2 meters of DNA, packaged with proteins as chromatin and divided among chromosomes. Human somatic cells contain 46 chromosomes in 23 pairs; gametes (sperm and eggs) contain 23. Chromatin is spread out for most of the cycle and condenses into compact, visible chromosomes as the cell prepares to divide.
Before division, each chromosome is replicated. The duplicated chromosome consists of two identical sister chromatids, held together along their length by protein complexes called cohesins and most tightly at a constricted region called the centromere. On each side of the centromere sits a kinetochore, a protein structure where spindle microtubules attach. Counting is a frequent source of confusion: when sister chromatids are attached, they count as one chromosome. Only when they separate does each become a full chromosome.
Phases of the cell cycle
The cell cycle has two major parts. Interphase, usually about 90 percent of the cycle, is when the cell grows and copies its DNA. The mitotic (M) phase includes mitosis, the division of the nucleus, and cytokinesis, the division of the cytoplasm. Interphase has three subphases:
- G1 phase ("first gap"): the cell grows, makes proteins and organelles, and carries out its normal functions.
- S phase ("synthesis"): DNA is replicated, so each chromosome becomes two sister chromatids. The centrosome is also duplicated.
- G2 phase ("second gap"): the cell continues to grow and prepares for division.
The "gap" names are historical; the cell is busy throughout. For a typical human cell dividing in culture, the full cycle takes about 24 hours: G1 roughly 5 to 6 hours or more, S about 10 to 12, G2 about 4 to 6, and M less than 1 hour. Cells that are not dividing leave the cycle and enter a resting state called G0. Most adult nerve and muscle cells stay in G0 permanently, while liver cells can be called back into the cycle by growth factors after an injury.
The mitotic spindle
Many of the events of mitosis depend on the mitotic spindle, a structure of microtubules and associated proteins. In animal cells, spindle microtubules grow from the centrosome, a microtubule organizing region containing a pair of centrioles (centrioles are not essential; plant cells have centrosomes without them). The centrosome replicates during interphase, and as mitosis begins the two centrosomes move apart, each surrounded by a radial array of short microtubules called an aster. Three groups of microtubules form: kinetochore microtubules attach to chromosomes, nonkinetochore microtubules from opposite poles overlap in the middle of the cell, and astral microtubules anchor the poles to the cell cortex.
The stages of mitosis
Mitosis is a continuous process, but for study it is divided into five stages. The figure and table below summarize them; here is what happens and why.
Prophase. Chromatin fibers condense into discrete chromosomes, each consisting of two sister chromatids. The nucleoli disappear. The mitotic spindle begins to form as the centrosomes move apart.
Prometaphase. The nuclear envelope fragments, letting microtubules invade the nuclear area. Each chromatid now has a kinetochore, and some microtubules attach to them. Because the two sister kinetochores face opposite directions, each chromosome ends up attached to microtubules from both poles, and it is jerked back and forth in a tug of war.
Metaphase. The centrosomes are at opposite poles, and the chromosomes are lined up on the metaphase plate, an imaginary plane midway between the poles. This is usually the longest stage of mitosis, about 20 minutes, and it is the stage at which chromosomes are most condensed, which is why karyotypes are prepared from metaphase cells.
Anaphase. The shortest stage, often only a few minutes, begins when the enzyme separase cleaves the cohesins holding sister chromatids together. Each chromatid becomes a full-fledged chromosome. The kinetochore microtubules shorten by losing tubulin subunits at their kinetochore ends, and motor proteins at the kinetochore "walk" the chromosome toward the pole. At the same time, motor proteins push the overlapping nonkinetochore microtubules apart, elongating the cell. By the end of anaphase, each pole has an equivalent and complete collection of chromosomes.
Telophase. Two daughter nuclei form as nuclear envelopes reassemble from fragments of the parent's envelope and the endomembrane system. Nucleoli reappear, chromosomes decondense, and the spindle microtubules are depolymerized. Mitosis, the division of one nucleus into two genetically identical nuclei, is complete.
| Stage | Key events | State of each chromosome |
|---|---|---|
| Interphase (G2) | Nuclear envelope intact; DNA already replicated; centrosomes duplicated | Two sister chromatids, uncondensed |
| Prophase | Chromosomes condense; nucleoli disappear; spindle begins to form | Two sister chromatids, condensed |
| Prometaphase | Nuclear envelope fragments; kinetochore microtubules attach | Two sister chromatids attached to opposite poles |
| Metaphase | Chromosomes aligned on the metaphase plate | Two sister chromatids, maximally condensed |
| Anaphase | Cohesins cleaved; sister chromatids move to opposite poles; cell elongates | Single chromatids, now counted as separate chromosomes |
| Telophase and cytokinesis | Nuclear envelopes and nucleoli re-form; chromosomes decondense; cytoplasm divides | Single chromatids (unreplicated chromosomes) |
Cytokinesis
Cytokinesis usually begins during late telophase. In animal cells it occurs by cleavage. A shallow groove, the cleavage furrow, appears on the cell surface near the old metaphase plate. On the cytoplasmic side lies a contractile ring of actin microfilaments associated with myosin motor proteins. The ring contracts like a drawstring, deepening the furrow until the parent cell is pinched in two. Plant cells, which have rigid cell walls, cannot pinch. Instead, vesicles from the Golgi apparatus move along microtubules to the middle of the cell and fuse into a cell plate, which grows outward until it joins the parent's plasma membrane; a new cell wall forms between the daughter cells from the plate's contents.
Binary fission in prokaryotes
Bacteria and archaea reproduce by binary fission. Replication of the single circular chromosome begins at the origin of replication, and the two copies of the origin move toward opposite ends of the cell as the cell elongates. When replication is complete, the membrane pinches inward and a new wall forms. Prokaryotes have no spindle, but actin-like proteins help move the chromosomes and a tubulin-like protein (FtsZ) forms the dividing ring, hints of how the eukaryotic machinery evolved; some protists, such as dinoflagellates and diatoms, divide by intermediate mechanisms.
The cell cycle consists of interphase (G1, S, G2), when the cell grows and replicates its DNA into sister chromatids, and the M phase. Mitosis proceeds through prophase, prometaphase, metaphase, anaphase and telophase, using a microtubule spindle to give each daughter nucleus an identical set of chromosomes. Cytokinesis divides the cytoplasm by a cleavage furrow in animals and a cell plate in plants, and prokaryotes divide by the simpler process of binary fission.
Section 4Regulation of the cell cycle and cancer
A control system with checkpoints
Skin and intestinal lining cells divide frequently, liver cells only when needed, and mature neurons not at all. The timing is set by a cell cycle control system of cytoplasmic molecules. Cell fusion experiments revealed it: fusing an S phase cell with a G1 cell made the G1 nucleus start replicating its DNA at once, and fusing an M phase cell with any other cell sent the second nucleus straight into mitosis.
The control system works like a timing device with built-in checkpoints, control points where stop and go signals regulate the cycle. Three are major:
- The G1 checkpoint (called the restriction point in mammals) seems to be the most important. If a cell receives a go-ahead signal here, it usually completes the whole cycle and divides. If not, it exits into G0. The checkpoint checks cell size, nutrients, growth factors and DNA damage.
- The G2 checkpoint checks that DNA replication is complete and that damage has been repaired before mitosis begins.
- The M checkpoint (spindle assembly checkpoint) delays anaphase until every chromosome is attached at its kinetochores to spindle microtubules from both poles. Unattached kinetochores send a "wait" signal that keeps an enzyme complex called the anaphase promoting complex inactive. Once all are attached, the complex triggers the destruction of the protein that has been inhibiting separase, separase cuts the cohesins, and anaphase begins. This checkpoint prevents daughter cells from receiving missing or extra chromosomes.
Cyclins and cyclin-dependent kinases
The cycle is driven by two kinds of regulatory proteins. Cyclin-dependent kinases (Cdks) are protein kinases that are present at fairly constant levels but are active only when attached to a cyclin, a protein named for its cyclically fluctuating concentration. Different cyclin-Cdk pairs act at different points in the cycle. The first to be discovered was MPF (maturation-promoting factor, also read as M-phase promoting factor), a complex of cyclin B and its Cdk. Cyclin is made steadily during interphase and accumulates; as it combines with Cdk, MPF activity rises and peaks at the start of mitosis. MPF phosphorylates many proteins, helping to fragment the nuclear envelope (by phosphorylating the lamins), condense chromosomes and assemble the spindle. During anaphase, MPF switches itself off by triggering the destruction of its own cyclin through the anaphase promoting complex. The Cdk persists, inactive, until new cyclin accumulates in the next cycle.
At the G1 checkpoint, cyclin D and its Cdks, made in response to growth factors, phosphorylate the retinoblastoma protein (Rb). Unphosphorylated Rb binds and holds a transcription factor called E2F; phosphorylated Rb releases it, and E2F switches on the genes needed for S phase. Rb is thus a brake on the cycle, and the cyclin-Cdk complexes release it.
Internal and external signals
The control system responds to signals from inside and outside the cell. A key internal signal is DNA damage. The protein p53 rises when DNA is damaged and acts as a transcription factor that switches on a Cdk inhibitor (p21), halting the cycle at G1; it also activates DNA repair genes and, if the damage is too great, triggers apoptosis. For this reason p53 is often called the "guardian of the genome."
External signals include growth factors, proteins released by certain cells that stimulate other cells to divide. More than 50 are known. Platelet-derived growth factor (PDGF), released by blood platelets at a wound, binds receptor tyrosine kinases on fibroblasts in connective tissue and stimulates them to divide and help heal the wound. Fibroblasts grown in a dish divide only if PDGF is added to the medium.
Two other external controls are visible in cultured cells. In density-dependent inhibition, crowded cells stop dividing: normal cells form a single layer and stop when they touch, and cells bordering a scraped gap divide until it is filled. In anchorage dependence, cells must be attached to a substrate, such as the extracellular matrix, to divide.
Cancer: cells that escape control
Cancer is a group of diseases in which cells escape the normal controls on division. Cancer cells do not show density-dependent inhibition or anchorage dependence; in culture they pile up in layers and keep dividing as long as nutrients are supplied. Many make their own growth factors, have abnormal signaling proteins that send "divide" signals without any factor, or have defective checkpoints. Cancer cells grown in culture can divide indefinitely, whereas normal mammalian cells stop after about 20 to 50 divisions.
The problem begins when a single cell undergoes transformation, the conversion to a cancerous cell. The immune system normally recognizes and destroys such cells, but if one evades destruction it may proliferate into a tumor, a mass of abnormal cells. If the abnormal cells remain at their original site, the lump is a benign tumor, which can usually be removed surgically. A malignant tumor invades surrounding tissues and can undergo metastasis, the spread of cancer cells through blood or lymph to form new tumors in distant parts of the body. Malignant cells often have abnormal chromosome numbers and recruit new blood vessels.
Genes that cause cancer: oncogenes and tumor suppressors
Cancer is fundamentally a disease of genes that control the cell cycle. Two broad classes are involved.
Proto-oncogenes are normal genes that code for proteins that stimulate cell division, such as growth factors, their receptors and relay proteins. A mutation that makes a proto-oncogene's product excessively active or abundant converts it into an oncogene (cancer gene). This can happen in three main ways: (1) a point mutation in the coding sequence produces a hyperactive or degradation-resistant protein; (2) gene amplification produces extra copies of the gene; or (3) a chromosomal translocation moves the gene next to an active promoter, or fuses it with another gene. Because the effect is a gain of function, a mutation in only one of the two copies is enough; oncogenes act like a car's accelerator stuck to the floor. The ras gene, which encodes the Ras G protein in the growth factor pathway, is mutated in about 30 percent of human cancers; the mutant Ras stays active and keeps signaling for division without any growth factor.
Tumor suppressor genes code for proteins that inhibit cell division, repair DNA or trigger apoptosis. Mutations that inactivate them contribute to cancer by a loss of function, so usually both copies must be inactivated before the cell loses control; they act like brakes that fail only when both are cut. The p53 gene (TP53) is mutated in roughly half of all human cancers, more than any other gene. Others include RB, whose loss in childhood causes the eye tumor retinoblastoma, and BRCA1 and BRCA2, which encode proteins needed to repair double-stranded DNA breaks.
| Feature | Proto-oncogene / oncogene | Tumor suppressor gene |
|---|---|---|
| Normal role of product | Stimulates cell division (growth factors, receptors, relay proteins such as Ras) | Inhibits division, repairs DNA, or triggers apoptosis (p53, Rb, BRCA1 and 2) |
| Effect of cancer-causing mutation | Gain of function: product overactive or overabundant | Loss of function: product absent or inactive |
| Copies that must be mutated | Usually one (dominant at the cell level) | Usually both (recessive at the cell level) |
| How the mutation arises | Point mutation, gene amplification, translocation | Point mutation, deletion, or silencing of both alleles |
| Analogy | Accelerator stuck down | Both brakes fail |
| Examples | ras, myc, HER2 (ERBB2), BCR-ABL fusion | TP53, RB, BRCA1, BRCA2, APC |
Cancer develops in multiple steps
More than one mutation is needed to produce a cancer cell. In the best studied example, colorectal cancer, a normal lining cell first loses the tumor suppressor APC, producing a small benign growth (polyp). Over years, additional mutations, typically activation of the ras oncogene and loss of p53, convert it into a malignant tumor that can invade and metastasize. Cells along the way usually also activate the enzyme telomerase, which prevents the shortening of chromosome ends and lets them divide indefinitely. The requirement for several mutations, each occurring at a low rate, explains why the incidence of most cancers rises sharply with age.
About 5 to 10 percent of cancers involve an inherited predisposition. A person who inherits one mutant copy of a tumor suppressor gene starts with one "hit" already in every cell, so only one more mutation is needed in any cell. Women who inherit a mutant BRCA1 allele, for example, have a lifetime breast cancer risk several times that of the general population. Viruses can contribute too: human papillomavirus, which causes cervical cancer, makes proteins that inactivate p53 and Rb, which is why the HPV vaccine prevents most cervical cancers.
The cell cycle control system uses checkpoints at G1, G2 and M, driven by cyclins whose concentrations rise and fall and by Cdks that are active only when bound to cyclin (MPF triggers mitosis). Internal signals such as p53 and external signals such as growth factors, density and anchorage tell cells whether to divide. Cancer arises when several mutations accumulate in one cell lineage, activating oncogenes (gain of function) and inactivating tumor suppressor genes (loss of function), so that cells divide without control, invade and metastasize.
Section 5Meiosis and sexual life cycles
Heredity, genes and two kinds of reproduction
Offspring resemble their parents because they inherit genes, segments of DNA that are the units of heredity, each at a specific locus on a chromosome. In asexual reproduction, one parent passes copies of all its genes to its offspring by mitosis, producing a clone. In sexual reproduction, two parents give rise to offspring with unique combinations of genes, which requires a special division, meiosis, that halves the chromosome number.
Homologous chromosomes, ploidy and the karyotype
A karyotype is an ordered display of the chromosomes of a cell, usually prepared from cells arrested in metaphase and arranged in pairs by size, centromere position and banding pattern. In a human karyotype, the two chromosomes of each pair are homologous chromosomes (homologs): they have the same length, centromere position and staining pattern, and they carry genes for the same characters at the same loci. One homolog of each pair came from the mother and one from the father. The homologs may carry different versions (alleles) of a gene; for example, one may carry an allele for brown eyes and the other an allele for blue.
The two exceptions are the sex chromosomes, X and Y, which determine sex in humans. Females have a homologous pair of X chromosomes; males have one X and one Y, which share only a small region. The other 22 pairs are autosomes.
A cell with two sets of chromosomes is diploid (2n). For humans, n = 23 and 2n = 46. A cell with a single set is haploid (n); human gametes are haploid, containing 22 autosomes plus one sex chromosome. When a haploid sperm fuses with a haploid egg in fertilization, the resulting zygote is diploid. Meiosis is what keeps the chromosome number constant from generation to generation; without it, the number would double every time gametes fused.
Three types of sexual life cycle
All sexual life cycles alternate between meiosis and fertilization, but they differ in when these events occur and which stage is multicellular.
- Animals (gametic meiosis): meiosis in the gonads produces gametes directly, which undergo no further division before fertilization. The only haploid cells are gametes; the multicellular organism is diploid.
- Plants and some algae (alternation of generations): there are both diploid and haploid multicellular stages. The diploid sporophyte produces haploid spores by meiosis. A spore divides by mitosis into a multicellular haploid gametophyte, which makes gametes by mitosis. Fertilization yields a diploid zygote that grows into the next sporophyte.
- Most fungi and many protists (zygotic meiosis): the zygote is the only diploid stage. It undergoes meiosis immediately, producing haploid cells that grow by mitosis into a haploid multicellular (or unicellular) organism, which makes gametes by mitosis.
Note that either haploid or diploid cells can divide by mitosis, depending on the life cycle, but only diploid cells can undergo meiosis, because meiosis requires homologous pairs.
The stages of meiosis
Meiosis is preceded by interphase in which each chromosome replicates into two sister chromatids. It then consists of two consecutive divisions, meiosis I and meiosis II, producing four daughter cells, each with half as many chromosomes as the parent and each genetically unique.
Meiosis I separates homologous chromosomes.
- Prophase I is the longest and most complex phase, occupying 90 percent or more of the time of meiosis. Chromosomes condense, and each homologous pair comes together gene by gene in a process called synapsis, held by a zipper-like protein structure, the synaptonemal complex. The paired homologs (four chromatids in all) are called a bivalent or tetrad. Crossing over occurs: nonsister chromatids exchange corresponding segments of DNA, and the points where they cross remain visible as X-shaped regions called chiasmata after the complex disassembles. In humans, each pair typically has one to three crossovers.
- Metaphase I: the tetrads line up at the metaphase plate, with one homolog facing each pole. Both chromatids of one homolog attach to microtubules from one pole; those of the other homolog attach to the opposite pole.
- Anaphase I: the cohesins along the chromatid arms are cleaved, letting homologs separate and move toward opposite poles. Cohesins at the centromeres are protected, so sister chromatids stay together.
- Telophase I and cytokinesis: each half of the cell has a haploid set of chromosomes, but each chromosome still consists of two (no longer identical, because of crossing over) sister chromatids. In many species no DNA replication occurs before meiosis II.
Meiosis II separates sister chromatids. It closely resembles mitosis: in prophase II a spindle forms; in metaphase II chromosomes line up individually at the plate; in anaphase II the centromere cohesins are finally cleaved and sister chromatids move to opposite poles; in telophase II and cytokinesis, four haploid daughter cells form.
Comparing mitosis and meiosis
Three events are unique to meiosis, and all three occur during meiosis I: synapsis and crossing over in prophase I; the alignment of homologous pairs (rather than individual chromosomes) at the metaphase plate; and the separation of homologs rather than sister chromatids in anaphase I. Because meiosis I reduces the number of chromosome sets from two to one, it is called the reductional division; meiosis II, which separates sister chromatids as mitosis does, is the equational division.
| Property | Mitosis | Meiosis |
|---|---|---|
| DNA replication | Once, during interphase | Once, during interphase before meiosis I |
| Number of divisions | One | Two (meiosis I and II) |
| Synapsis and crossing over | Do not occur | Occur in prophase I |
| What lines up at the metaphase plate | Individual duplicated chromosomes | Homologous pairs (metaphase I); individual chromosomes (metaphase II) |
| What separates in anaphase | Sister chromatids | Homologs (anaphase I); sister chromatids (anaphase II) |
| Number of daughter cells and chromosome number | Two, each diploid (2n) if the parent is diploid | Four, each haploid (n) |
| Genetic composition of daughters | Identical to the parent and each other | Different from the parent and each other |
| Role in animals | Growth, tissue repair, asexual reproduction | Production of gametes |
Sources of genetic variation
Mutations are the original source of genetic diversity, creating different alleles. Sexual reproduction then shuffles those alleles into new combinations in three ways.
- Independent assortment of chromosomes. At metaphase I, each homologous pair orients randomly, with the maternal or paternal homolog equally likely to face either pole, independently of every other pair. With n pairs, the number of possible combinations in the gametes is 2n. For humans, 223 is about 8.4 million.
- Crossing over. By exchanging segments between maternal and paternal chromatids, crossing over produces recombinant chromosomes that carry combinations of alleles found in neither parent's original chromosomes. Because crossovers can occur at many points, this multiplies the possible gametes far beyond 8.4 million.
- Random fertilization. Any sperm can fuse with any egg. Even without crossing over, one human couple could produce a zygote with any of about 70 trillion (8.4 million × 8.4 million) chromosome combinations.
This variation is the raw material for natural selection (Chapter 8).
When meiosis goes wrong: nondisjunction
Occasionally the members of a homologous pair fail to separate in meiosis I, or sister chromatids fail to separate in meiosis II. This error is nondisjunction. One resulting gamete receives two copies of a chromosome and another receives none. If such a gamete joins a normal one, the zygote has an abnormal chromosome number, a condition called aneuploidy: a trisomy (2n + 1, three copies of one chromosome) or a monosomy (2n − 1). Most aneuploid embryos do not survive. The most common viable autosomal trisomy is trisomy 21, which causes Down syndrome; its frequency rises with maternal age, partly because human eggs remain arrested in prophase I from before the mother's birth until ovulation, and the cohesins holding the paired homologs together may deteriorate over decades. Aneuploidies of the sex chromosomes, such as XXY (Klinefelter syndrome) and a single X (Turner syndrome), are generally less severe. Chapter 5 returns to these disorders.
Sexual life cycles alternate meiosis and fertilization, with the multicellular stage diploid in animals, haploid in most fungi, and both in plants (alternation of generations). Meiosis is one round of DNA replication followed by two divisions: meiosis I separates homologous chromosomes after synapsis and crossing over, and meiosis II separates sister chromatids, producing four genetically unique haploid cells. Independent assortment, crossing over and random fertilization generate enormous variation, while nondisjunction produces aneuploid gametes.
The chapter in one breath
- Cells signal by direct contact, by paracrine and synaptic local regulators, and by hormones, and they respond only through matching receptors.
- Signaling has three stages: reception, transduction and response.
- GPCRs activate G proteins, RTKs dimerize and autophosphorylate, ligand-gated ion channels open for ions, and intracellular receptors bind steroid and thyroid hormones and act as transcription factors.
- Phosphorylation cascades of kinases, reversed by phosphatases, and second messengers such as cAMP, Ca2+, IP3 and DAG relay and amplify signals.
- Apoptosis is caspase-driven programmed death triggered by the intrinsic (Bcl-2 family, cytochrome c) or extrinsic (death receptor) pathway; unlike necrosis, it causes no inflammation.
- The cell cycle is interphase (G1, S, G2) plus the M phase; DNA is copied in S into sister chromatids joined at the centromere.
- Mitosis runs through prophase, prometaphase, metaphase, anaphase and telophase; cytokinesis uses a cleavage furrow in animals and a cell plate in plants.
- Cyclins and Cdks drive the cycle, with checkpoints at G1, G2 and M; MPF (cyclin B-Cdk) triggers mitosis.
- Cancer results from accumulated mutations that activate oncogenes (gain of function) and inactivate tumor suppressor genes such as p53 and RB (loss of function).
- Meiosis halves the chromosome number: meiosis I separates homologs, meiosis II separates sister chromatids, giving four unique haploid cells.
- Crossing over, independent assortment and random fertilization generate genetic variation; nondisjunction causes aneuploidy such as trisomy 21.
Words worth knowing
| Term | What it means |
|---|---|
| Aneuploidy | An abnormal number of a particular chromosome, such as a trisomy or monosomy, usually caused by nondisjunction. |
| Apoptosis | Programmed, orderly cell death carried out by caspases, without inflammation. |
| Caspase | A protease that is activated in a cascade during apoptosis and cuts cellular proteins. |
| Cell cycle | The life of a cell from its formation by division to its own division, made up of interphase and the M phase. |
| Centromere | The constricted region of a duplicated chromosome where sister chromatids are most closely attached. |
| Checkpoint | A control point in the cell cycle where stop and go signals determine whether the cycle continues. |
| Crossing over | Exchange of corresponding segments between nonsister chromatids of homologous chromosomes during prophase I. |
| Cyclin | A regulatory protein whose concentration rises and falls during the cell cycle and that activates a Cdk. |
| Cyclin-dependent kinase (Cdk) | A protein kinase that is active only when bound to a cyclin and that drives the cell cycle forward. |
| G protein-coupled receptor | A seven-pass membrane receptor that activates a GTP-binding G protein when its ligand binds. |
| Homologous chromosomes | A pair of chromosomes of the same length, centromere position and gene loci, one from each parent. |
| Independent assortment | The random orientation of each homologous pair at metaphase I, independent of the other pairs. |
| Kinetochore | A protein structure at the centromere where spindle microtubules attach. |
| Meiosis | Two consecutive divisions of a diploid cell that produce four genetically different haploid cells. |
| Metastasis | The spread of cancer cells from their original site to distant parts of the body. |
| Nondisjunction | Failure of homologs or sister chromatids to separate properly during meiosis or mitosis. |
| Oncogene | A mutated, overactive form of a proto-oncogene that promotes uncontrolled cell division. |
| Receptor tyrosine kinase | A membrane receptor that dimerizes when its ligand binds and phosphorylates tyrosines on its partner, activating relay proteins. |
| Second messenger | A small molecule or ion inside the cell, such as cAMP or Ca2+, that relays a signal from a membrane receptor. |
| Sister chromatids | The two identical copies of a replicated chromosome, joined by cohesins. |
| Synapsis | The precise pairing of homologous chromosomes during prophase I of meiosis. |
| Tumor suppressor gene | A gene whose product inhibits cell division or repairs DNA; loss of both copies contributes to cancer. |
Check yourself
Mendelian Genetics and the Chromosomal Basis of Inheritance
Why do two brown eyed parents sometimes have a blue eyed child, why are color blind men so much more common than color blind women, and why does a single extra chromosome change the course of a whole life? The answers come from a set of rules first worked out in a monastery garden with pea plants and later traced to the behavior of chromosomes during meiosis. This chapter teaches you those rules, shows you how to calculate the odds of any genetic outcome, and then follows the many ways real inheritance bends and breaks the simple patterns.
By the end of this chapter you can
- Describe Mendel's experimental approach and state the law of segregation and the law of independent assortment in terms of alleles and meiosis.
- Use Punnett squares, the multiplication rule, the addition rule and the binomial expression to solve monohybrid, dihybrid and multigene problems.
- Read a pedigree and decide whether a trait is autosomal dominant, autosomal recessive or X linked, and test genetic data with a chi-square test.
- Distinguish incomplete dominance, codominance, multiple alleles, pleiotropy and lethal alleles, and predict the ratios they produce.
- Explain epistasis and polygenic inheritance, and recognize modified ratios such as 9:3:4, 9:7 and 15:1.
- Explain the chromosome theory of inheritance, sex determination, X linked inheritance and X inactivation.
- Calculate recombination frequency and use it to build a genetic map in map units.
- Compare nondisjunction in meiosis I and meiosis II and describe aneuploidy, polyploidy and structural changes to chromosomes.
- Connect chromosomal changes, genomic imprinting and mitochondrial inheritance to named human disorders.
Section 1Mendel's experiments and the laws of segregation and independent assortment
The problem Mendel solved
Before the 1860s, most naturalists explained heredity with the blending hypothesis: the traits of two parents mix in their offspring the way blue and yellow paint mix to make green. Blending has an obvious flaw. If it were true, variation would shrink every generation until a population became uniform, and a trait that disappeared in one generation could never come back. Farmers and breeders knew better. A white flowered plant could appear among the offspring of purple flowered parents, and a calf could resemble its grandmother more than either parent.
Gregor Mendel, a monk trained in physics and mathematics, replaced blending with a particulate hypothesis. He proposed that parents pass on discrete heritable factors, which we now call genes, and that these factors keep their identity from generation to generation even when they are hidden. He reached this conclusion not by clever argument but by counting thousands of offspring and treating the counts mathematically, an approach that was unusual for biology at the time.
Why the garden pea was a good choice
Mendel worked with the garden pea, Pisum sativum, and his choice of organism mattered as much as his method.
- Peas come in many varieties with clear either or characters: a character is a heritable feature such as flower color, and a trait is one variant of it, such as purple or white.
- Peas normally self fertilize, because the pollen producing stamens and egg producing carpel are enclosed together in the same flower. This let Mendel start with true breeding lines, plants that produce only offspring like themselves when they self.
- He could also force cross pollination by cutting away the immature stamens of one plant and dusting its carpel with pollen from another. That gave him full control over which plants mated.
Mendel also made two smart experimental decisions. He followed characters that came in only two clearly different forms, and he tracked them for at least three generations. The true breeding parents are the P generation (parental). Their hybrid offspring are the F1 generation (first filial), and the offspring produced when F1 plants self or cross with one another are the F2 generation.
| Character | Dominant trait | Recessive trait | F2 counts (dominant : recessive) | Ratio |
|---|---|---|---|---|
| Seed shape | Round | Wrinkled | 5,474 : 1,850 | 2.96 : 1 |
| Seed color | Yellow | Green | 6,022 : 2,001 | 3.01 : 1 |
| Flower color | Purple | White | 705 : 224 | 3.15 : 1 |
| Pod shape | Inflated | Constricted | 882 : 299 | 2.95 : 1 |
| Pod color | Green | Yellow | 428 : 152 | 2.82 : 1 |
| Flower position | Axial (along the stem) | Terminal (at the tip) | 651 : 207 | 3.14 : 1 |
| Stem length | Tall | Dwarf | 787 : 277 | 2.84 : 1 |
The monohybrid cross
In a typical experiment, Mendel crossed a true breeding purple flowered plant with a true breeding white flowered plant. Every F1 plant had purple flowers. The white trait had not blended into a pale lavender; it had simply vanished. When he let the F1 plants self pollinate, white flowers reappeared in the F2 in roughly one quarter of the plants: 705 purple to 224 white, close to 3:1. A cross between parents that differ in one character, followed into the F2, is a monohybrid cross, and the F1 plants are monohybrids (heterozygous for one gene).
Mendel saw the same pattern for all seven characters in the table above. He called the trait that appeared in the F1 dominant and the trait that was hidden in the F1 and reappeared in the F2 recessive. To explain the 3:1 ratio, he built a model with four parts. Translated into modern terms:
- Alternative versions of a gene explain variation in inherited characters. These versions are alleles. The gene for flower color has a purple allele and a white allele. Each gene sits at a specific place, its locus (plural loci), on a particular chromosome.
- An organism inherits two copies of each gene, one from each parent. The two copies sit at the same locus on a pair of homologous chromosomes. They may be identical, as in true breeding plants, or different, as in the F1 hybrids.
- If the two alleles differ, the dominant allele determines appearance and the recessive allele has no noticeable effect. By convention, a capital letter stands for the dominant allele (P for purple) and the lowercase letter for the recessive allele (p for white).
- The two alleles for a character separate (segregate) during gamete formation and end up in different gametes. An egg or a sperm carries only one allele for each character. This is the law of segregation.
Vocabulary that makes problems easier
An organism with two identical alleles for a gene, such as PP or pp, is homozygous for that gene. One with two different alleles, Pp, is heterozygous. The genotype is the genetic makeup (PP, Pp or pp); the phenotype is the observable appearance (purple or white), which also includes physiological and biochemical traits. Two organisms can share a phenotype but differ in genotype: PP and Pp plants are both purple. That is why the F2 phenotype ratio is 3:1 while the genotype ratio is 1 PP : 2 Pp : 1 pp.
A Punnett square is a grid that lists the possible gametes of one parent along the top and those of the other along the side. Each box is one possible fertilization, and because each gamete type is equally likely, each box is equally likely.
The testcross
A purple flowered plant could be PP or Pp. To find out which, breed it with a homozygous recessive plant (pp). This is a testcross. If all offspring are purple, the mystery parent was almost certainly PP, because a Pp parent would have given about half white offspring. If any white offspring appear, the parent must be Pp. The testcross works because the recessive parent contributes only recessive alleles, so the offspring phenotypes directly reveal the gametes of the unknown parent.
The dihybrid cross and independent assortment
Mendel next asked whether the alleles of two different genes travel together or separately. He crossed true breeding plants with round yellow seeds (RRYY) and true breeding plants with wrinkled green seeds (rryy). The F1 were all round and yellow, and they were dihybrids, RrYy. Two hypotheses predicted different F2 results.
- If the alleles stayed together as they had arrived from each parent (dependent assortment), an F1 plant would make only two kinds of gametes, RY and ry, and the F2 would show a 3:1 ratio of round yellow to wrinkled green, with no new combinations.
- If the alleles of each gene sorted independently, an F1 plant would make four kinds of gametes in equal numbers, RY, Ry, rY and ry, and a 4 × 4 Punnett square would give 16 equally likely combinations.
Mendel's F2 counts were 315 round yellow, 108 round green, 101 wrinkled yellow and 32 wrinkled green, very close to 9:3:3:1. The new combinations (round green and wrinkled yellow) proved that the two genes had sorted independently. Notice that each character on its own still gave 3:1: round to wrinkled was 423:133, and yellow to green was 416:140. The 9:3:3:1 ratio is simply (3:1) × (3:1). This led to the law of independent assortment: each pair of alleles segregates independently of each other pair during gamete formation.
Independent assortment has an important limit. It holds for genes on different chromosomes and for genes so far apart on the same chromosome that crossing over separates them about half the time. Genes close together on one chromosome are linked and tend to be inherited together (Section 4). Mendel was fortunate: the seven characters he reported are controlled by genes that either sit on different chromosomes or are far enough apart to behave as if they were.
The physical basis: meiosis
Mendel had no idea what his factors were made of. Decades later, cytologists watching cells divide noticed that chromosomes behave exactly the way Mendel's factors must. The match is the heart of the chromosome theory of inheritance.
- Segregation happens because homologous chromosomes, one from each parent, separate in anaphase I of meiosis. Each daughter cell receives one homolog, and therefore one allele, for every locus. (If crossing over has swapped the alleles between sister chromatids, the final separation of alleles occurs at anaphase II.)
- Independent assortment happens because each pair of homologs lines up at the metaphase plate in metaphase I independently of every other pair. Whether the maternal or paternal homolog of chromosome 1 faces a given pole has no effect on which homolog of chromosome 2 faces that pole.
Mendel showed that inheritance is particulate. Each organism carries two alleles per gene, the alleles segregate into different gametes, and alleles of different genes assort independently unless the genes are linked. Both laws follow directly from the movement of homologous chromosomes during meiosis I.
Section 2Probability and genetic problems
Why genetics is a probability science
Segregation and fertilization are random events, much like coin tosses. A heterozygote makes P and p gametes in equal numbers, but which gamete reaches a particular egg is a matter of chance. That is why Mendel's counts were close to 3:1 but never exactly 3:1, and why a family with four children can easily have no affected children even when each child faces a one in four risk. A probability is a number from 0 (the event never happens) to 1 (it always happens), and the probabilities of all possible outcomes of an event add up to 1. Each new child, like each new coin toss, is an independent event: earlier outcomes do not change the odds for the next one.
The multiplication rule
The multiplication rule states that the probability that two or more independent events all occur together is the product of their separate probabilities. The key words are "and" or "both." For an Rr × Rr cross, the chance that the egg carries r is 1/2 and the chance that the sperm carries r is 1/2, so the chance of an rr offspring is 1/2 × 1/2 = 1/4. The same rule tells you that the chance that two children in a row will both be rr is 1/4 × 1/4 = 1/16.
The addition rule
The addition rule states that the probability that any one of two or more mutually exclusive events will occur is the sum of their individual probabilities. The key word is "or." Mutually exclusive means the events cannot happen together: a single offspring cannot be both Rr made by an R egg and r sperm and Rr made by an r egg and R sperm. Each of those ways has probability 1/4, so the probability of a heterozygous offspring is 1/4 + 1/4 = 1/2.
Solving multigene problems without giant Punnett squares
A trihybrid cross would need a 64 box Punnett square. Instead, because independently assorting genes behave like separate monohybrid crosses, break the problem into one gene at a time, find the probability for each, and multiply.
Worked example. In the cross AaBbCcDd × AaBbccDd, what fraction of offspring will be AaBbccdd?
- Aa × Aa gives Aa with probability 1/2.
- Bb × Bb gives Bb with probability 1/2.
- Cc × cc gives cc with probability 1/2.
- Dd × Dd gives dd with probability 1/4.
- Multiply: 1/2 × 1/2 × 1/2 × 1/4 = 1/32.
Worked example with "or." In the cross PpYyRr × Ppyyrr, what fraction of offspring will show at least two recessive traits? List the genotypes that qualify and calculate each one with the multiplication rule, then add. The qualifying genotypes are ppyyRr, ppYyrr, Ppyyrr, PPyyrr and ppyyrr, which give 1/16 + 1/16 + 2/16 + 1/16 + 1/16 = 6/16, or 3/8. The pattern is always the same: multiply within a combination, add across combinations.
| Question | Rule or shortcut | Example answer |
|---|---|---|
| How many gamete types does an individual heterozygous for n independent genes make? | 2n | AaBbCc makes 23 = 8 types |
| How many genotypes are possible in the offspring of two such individuals? | 3n | AaBbCc × AaBbCc gives 27 genotypes |
| How many phenotypes, with complete dominance at every gene? | 2n | 8 phenotypes |
| Chance of a fully homozygous recessive offspring from two n-gene heterozygotes? | (1/4)n | aabbcc: 1/64 |
| Chance of showing all dominant phenotypes? | (3/4)n | 27/64 |
| Both A and B happen (independent) | Multiply | Two rr children in a row: 1/16 |
| A or B happens (mutually exclusive) | Add | Heterozygote from Rr × Rr: 1/4 + 1/4 |
The binomial expression: "exactly k of n"
Families raise a different kind of question: in a family of three children, what is the chance that exactly two are affected by a recessive condition when both parents are carriers? The two affected children could be the first and second, first and third, or second and third. Each specific birth order has probability (1/4)(1/4)(3/4) = 3/64, and there are three orders, so the answer is 3 × 3/64 = 9/64. The general form is the binomial expression:
P(exactly k of n) = [n! / (k!(n − k)!)] × pk × qn−k
Here p is the probability of the event in one trial and q = 1 − p. The fraction with factorials counts the number of orders. For "at least one" questions, the fastest route is often to subtract from 1: the probability that at least one of four children is affected is 1 − (3/4)4 = 1 − 81/256 = 175/256.
Conditional probability: the two-thirds rule
Sometimes information you already have changes the odds. Suppose two carrier parents (Aa × Aa) have a son who does not have the recessive disorder. What is the chance he is a carrier? Without any information, the probabilities are 1/4 AA, 1/2 Aa and 1/4 aa. But we know he is not aa, so only the AA and Aa outcomes remain, in a ratio of 1:2. The chance he is a carrier is therefore 2/3, not 1/2. This conditional probability appears constantly in genetic counseling problems involving the unaffected siblings of affected people.
Pedigree analysis
Geneticists cannot arrange human matings, so they study families that already exist. A pedigree is a family tree that shows how a trait passes through generations. Squares are males and circles are females; a filled symbol is an affected person; a horizontal line joins mates; a vertical line drops to their children, who are listed left to right in birth order. Generations are numbered with Roman numerals and individuals with Arabic numerals, so II-3 is the third person in the second generation.
To identify the mode of inheritance, look for a few decisive clues rather than trying every possibility at once.
| Pattern | Clues in the pedigree | Human examples |
|---|---|---|
| Autosomal recessive | Affected children of unaffected parents; often skips generations; males and females equally affected; more frequent with consanguinity (mating of relatives) | Cystic fibrosis, sickle cell disease, Tay-Sachs disease, phenylketonuria, albinism |
| Autosomal dominant | Every affected person has at least one affected parent; does not skip generations; about half the children of an affected heterozygote are affected; both sexes equally | Huntington disease, achondroplasia, Marfan syndrome, familial hypercholesterolemia |
| X linked recessive | Far more males than females affected; affected males usually have unaffected parents (carrier mother); never passed father to son | Hemophilia A, Duchenne muscular dystrophy, red-green color blindness |
| X linked dominant | Affected father passes the trait to all daughters and no sons; affected mother passes it to half of children of either sex | Hypophosphatemic (vitamin D resistant) rickets |
| Mitochondrial | Passed from mother to all her children; never from father | Leber hereditary optic neuropathy |
Testing whether data fit a ratio: the chi-square test
Mendel's 315:108:101:32 is close to 9:3:3:1, but how close is close enough? The chi-square (χ2) goodness of fit test asks whether the difference between observed (O) and expected (E) counts is small enough to be explained by chance alone. The null hypothesis is that the data fit the predicted ratio and any deviation is random.
- Calculate expected counts from the total and the predicted ratio. For 556 seeds and 9:3:3:1: 312.75, 104.25, 104.25 and 34.75.
- For each class, compute (O − E)2/E and add them: 0.016 + 0.135 + 0.101 + 0.218 = χ2 = 0.47.
- Find the degrees of freedom: the number of classes minus 1, here 4 − 1 = 3.
- Compare with the critical value at p = 0.05. If χ2 is smaller than the critical value, you fail to reject the null hypothesis; the deviation is consistent with chance.
| Degrees of freedom | Critical χ2 at p = 0.05 | Typical genetics use |
|---|---|---|
| 1 | 3.84 | 3:1 or 1:1 ratio (two classes) |
| 2 | 5.99 | 1:2:1 or 9:3:4 ratio (three classes) |
| 3 | 7.81 | 9:3:3:1 or 1:1:1:1 ratio (four classes) |
| 4 | 9.49 | Five classes |
Mendel's value of 0.47 is far below 7.81, so the data fit independent assortment well. A large χ2 does not prove the model wrong, but it signals that something other than chance, such as linkage or reduced survival of one genotype, is probably at work.
Genetic outcomes are probabilities. Multiply for independent events that must all happen, add for mutually exclusive ways to get the same result, use the binomial expression for "exactly k of n," and adjust for what you already know with conditional probability. Pedigrees and the chi-square test let you apply these rules to real families and real data.
Section 3Extensions: dominance, multiple alleles, epistasis, polygenic traits
Mendel's rules still hold; the relationships get richer
Mendel chose characters in which one allele was completely dominant and each character was controlled by one gene with two alleles. Most traits are not that tidy. The patterns in this section can look as if they break Mendel's laws, but they do not. Alleles still segregate and genes still assort independently. What changes is the relationship between genotype and phenotype: how two alleles of the same gene interact, how many alleles exist in a population, how genes interact with one another and how the environment shapes the outcome.
Degrees of dominance
With complete dominance, the heterozygote and the dominant homozygote look the same. With incomplete dominance, the heterozygote has a phenotype intermediate between the two homozygotes. Crossing red snapdragons (CRCR) with white snapdragons (CWCW) gives all pink F1 flowers. This might look like blending, but the F2 settles the question: it contains red, pink and white in a 1:2:1 ratio, so the red and white alleles came through intact. In incomplete dominance the phenotype ratio equals the genotype ratio because every genotype has its own look. The molecular reason is usually dosage: one functional allele makes only enough red pigment to tint the petals pink.
With codominance, the heterozygote fully and separately expresses both alleles. The human MN blood group is the classic case. The M and N alleles specify slightly different forms of a glycoprotein on red blood cells. People who are MN have both forms on their cells, not an intermediate molecule. The AB blood type, discussed below, is another example.
Dominance can also depend on the level at which you look. In Tay-Sachs disease, children with two defective alleles cannot break down a membrane lipid (GM2 ganglioside) in brain cells and die in early childhood. At the level of the whole organism, the allele is recessive, because heterozygotes are healthy. At the biochemical level, heterozygotes have about half the normal enzyme activity, which looks like incomplete dominance. At the molecular level, both normal and defective enzyme molecules are made, which is codominance. Dominance describes phenotype, so it always depends on which phenotype you measure.
Multiple alleles
Any one diploid individual carries at most two alleles of a gene, but a population can carry many. The ABO blood group has three common alleles: IA, IB and i. IA encodes an enzyme that adds the sugar N-acetylgalactosamine to a carbohydrate on the red cell surface, forming the A antigen; IB encodes an enzyme that adds galactose, forming the B antigen; i encodes no functional enzyme. IA and IB are codominant with each other, and both are completely dominant over i. Six genotypes give four phenotypes.
| Blood type | Genotypes | Antigens on red cells | Antibodies in plasma | Can receive red cells from |
|---|---|---|---|---|
| A | IAIA or IAi | A | Anti-B | A, O |
| B | IBIB or IBi | B | Anti-A | B, O |
| AB | IAIB | A and B | Neither | A, B, AB, O (universal recipient) |
| O | ii | Neither | Anti-A and anti-B | O only (O is the universal donor) |
Rabbit coat color shows a dominance series of four alleles: full color (C) > chinchilla (cch) > Himalayan (ch) > albino (c). The Himalayan allele produces a temperature sensitive version of tyrosinase, the enzyme that starts melanin synthesis. The enzyme works only below body temperature, so pigment forms on the cool ears, nose, feet and tail. The same allele explains the color points of Siamese cats.
Pleiotropy and lethal alleles
Many genes affect more than one phenotypic character, a property called pleiotropy. The sickle cell allele changes one amino acid in the β chain of hemoglobin. In people homozygous for it, red cells sickle when oxygen is low, which leads to anemia, pain crises, organ damage, stroke risk and a damaged spleen. One base change, many effects. Marfan syndrome, a dominant disorder of the connective tissue protein fibrillin-1, affects the skeleton (long limbs), the eyes (dislocated lenses) and the aorta (dilation and dissection).
Some alleles are lethal when homozygous. In mice, the dominant yellow coat allele AY gives yellow fur in heterozygotes, but AYAY embryos die. A cross of two yellow mice therefore gives yellow and agouti (wild type) offspring in a 2:1 ratio rather than 3:1, because the expected quarter of AYAY offspring never appears. The AY allele is dominant for coat color but recessive for lethality, a reminder that dominance is defined per trait.
Epistasis: one gene masks another
In epistasis (Greek for "standing upon"), the phenotype produced by one gene depends on the genotype at a second gene. Labrador retrievers make a clear example. Gene B controls the type of pigment: B (dominant) makes black eumelanin and b makes brown. A second gene, E, controls whether pigment is deposited in the hair at all. Dogs with at least one E allele deposit pigment; ee dogs deposit almost none in the hair and are yellow whatever their B genotype. Gene E is said to be epistatic to gene B.
Cross two dogs that are both BbEe. The 16 combinations still form, in the familiar 9:3:3:1 genotype classes: 9 B_E_, 3 bbE_, 3 B_ee, 1 bbee. But the last two classes look the same, so the phenotype ratio becomes 9 black : 3 chocolate : 4 yellow. When a dihybrid cross gives a ratio whose numbers add to 16 but that is not 9:3:3:1, suspect two genes interacting.
| F2 ratio from a dihybrid | Type of interaction | What is happening | Example |
|---|---|---|---|
| 9:3:3:1 | No interaction | Two genes affect separate characters, or combine to give four phenotypes | Pea seed shape and color |
| 9:3:4 | Recessive epistasis | Homozygous recessive at one gene masks the other gene | Labrador coat color |
| 12:3:1 | Dominant epistasis | A dominant allele at one gene masks the other gene | Summer squash fruit color |
| 9:7 | Complementary genes | Two steps of one pathway; a recessive homozygote at either gene blocks the pathway | Purple versus white flowers in sweet pea |
| 15:1 | Duplicate genes | Either gene's dominant allele is enough for the phenotype | Triangular versus oval seed capsules in shepherd's purse |
The 9:7 ratio is worth understanding in terms of a pathway. Suppose a white precursor is converted to an intermediate by enzyme C and the intermediate to purple pigment by enzyme P. A plant needs at least one working allele of both genes (C_P_, 9/16) to make purple. Any plant that is cc, pp or both (3 + 3 + 1 = 7/16) is white. Crossing two different white strains (CCpp × ccPP) can therefore give all purple F1 plants, a complementation result that tells geneticists the two white mutations are in different genes.
Polygenic inheritance and quantitative traits
Mendel's characters came in discrete either or forms. Height, skin color, blood pressure, birth weight and the number of grains on a wheat head vary continuously along a scale. These quantitative characters usually reflect polygenic inheritance, the additive effect of two or more genes on one phenotype.
A simplified model of skin pigmentation imagines three genes, each with a "dark" allele (A, B, C) that adds one unit of darkness and a "light" allele (a, b, c) that adds none. A person who is AaBbCc has three dark units. If two such people have children, offspring can carry anywhere from 0 to 6 dark alleles, giving seven phenotypic classes in the proportions 1:6:15:20:15:6:1 out of 64. Most children fall near the middle and few at the extremes. Add more genes and environmental effects such as sun exposure, and the steps blur into a smooth bell shaped curve.
Nature and nurture
Genotype rarely fixes a phenotype exactly. The range of phenotypes one genotype can produce across environments is its norm of reaction. Hydrangeas of the same genotype bloom blue in acidic soil and pink in neutral or basic soil, because soil pH controls how much aluminum the plant absorbs. Human height depends on nutrition as well as genes. Traits shaped by many genes plus the environment, such as heart disease, type 2 diabetes, many cancers and some mental illnesses, are called multifactorial.
Two more terms describe how consistently a genotype shows itself. Penetrance is the proportion of individuals with a genotype who show the expected phenotype at all; if only 80 percent of people with a dominant polydactyly allele have extra digits, penetrance is 80 percent (incomplete penetrance). Expressivity is the degree to which a phenotype is expressed in those who show it; in neurofibromatosis type 1, one family member may have a few pale brown skin spots while another has many tumors along nerves (variable expressivity).
The link between genotype and phenotype can be complicated: alleles can be incompletely dominant or codominant, a gene can have many alleles and many effects, genes can mask one another, many genes can add up to one continuous trait, and the environment shapes all of it. Through all of this, alleles still segregate and assort exactly as Mendel described.
Section 4Sex linkage, linked genes and recombination
The chromosome theory and Morgan's white eyed fly
Around 1902, Walter Sutton and Theodor Boveri independently noted the parallels between Mendel's factors and chromosomes: both come in pairs, both separate during gamete formation and both assort independently. The chromosome theory of inheritance proposed that genes occupy specific loci on chromosomes and that chromosome behavior in meiosis explains Mendel's laws. The first solid evidence tying a specific gene to a specific chromosome came from Thomas Hunt Morgan's work with the fruit fly Drosophila melanogaster, an ideal organism that breeds every two weeks, produces hundreds of offspring and has only four pairs of chromosomes.
Wild type flies have red eyes. (The wild type is the phenotype most common in natural populations; alleles for other phenotypes are mutant alleles.) Morgan found a male with white eyes and crossed it with a red eyed female. All F1 flies had red eyes, so red was dominant. In the F2, the familiar 3:1 ratio appeared, but with a twist: every white eyed fly was male. Half the F2 males had white eyes and none of the females did. Morgan concluded that the eye color gene lies on the X chromosome and that the Y chromosome carries no allele for it. A male, with one X, shows whatever allele that X carries.
Sex determination
In humans and other mammals, females are XX and males are XY. The Y chromosome is small and carries relatively few genes, but one of them, SRY (sex determining region of Y), triggers development of testes in the embryo; without it, the gonads develop as ovaries. Other organisms use other systems.
| System | Female | Male | Organisms |
|---|---|---|---|
| X-Y | XX | XY (the Y, through SRY in mammals, determines maleness) | Mammals, many insects including Drosophila (where the X to autosome ratio decides) |
| X-0 | XX | X0 (only one sex chromosome) | Grasshoppers, crickets, cockroaches |
| Z-W | ZW (female is the heterogametic sex) | ZZ | Birds, some fishes and reptiles, butterflies and moths |
| Haplo-diploid | Diploid (from fertilized eggs) | Haploid (from unfertilized eggs) | Bees, ants, wasps |
| Temperature dependent | Incubation temperature of the egg decides sex | Most turtles, all crocodilians | |
Inheritance of X linked genes
Genes on a sex chromosome are sex linked; in humans, the term usually means X linked, because the X carries about 1,000 genes and most have nothing to do with sex. A male has only one copy of each X linked gene and is called hemizygous. That single fact explains the pattern of X linked recessive disorders.
- A male who inherits one recessive X linked allele shows the trait, because no second allele can mask it. A female must inherit two copies, which is much rarer. If an allele has frequency 1/10 in a population, about 1 in 10 males but only 1 in 100 females will be affected.
- A father passes his X to all his daughters and his Y to all his sons, so an affected father never passes an X linked trait to a son, but all his daughters become carriers.
- A carrier mother (XAXa) passes the allele to half her children: half of her sons will be affected and half of her daughters will be carriers.
Important X linked recessive disorders include red-green color blindness (about 8 percent of males of northern European ancestry), hemophilia A (lack of clotting factor VIII), Duchenne muscular dystrophy (absence of the muscle protein dystrophin, causing progressive weakness from early childhood) and G6PD deficiency (red cells that break down under oxidative stress).
X inactivation
Females have two X chromosomes, yet they do not make twice as much of each X linked protein as males. Early in embryonic development of a female mammal, one X in each cell condenses into a compact Barr body that lies along the inside of the nuclear envelope and is mostly silent. The choice of which X to inactivate is random and independent in each embryonic cell, but once made, all descendants of that cell keep the same inactive X. A female is therefore a mosaic of two cell populations. Inactivation depends on the XIST gene, which is expressed only from the chromosome that will become the Barr body; its RNA coats that X and recruits proteins that modify chromatin and shut it down.
The tortoiseshell or calico cat shows mosaicism on the outside. An X linked gene has an orange allele and a black allele. A heterozygous female has patches of orange fur where the black X is inactive and patches of black where the orange X is inactive (white patches come from a separate gene). Male cats with these colors are almost always XXY. In humans, a carrier female for an X linked condition can show mild symptoms if, by chance, most cells in a relevant tissue inactivated the normal X.
Linked genes
Each chromosome carries hundreds or thousands of genes. Genes on the same chromosome tend to be inherited together and are called linked genes. (Do not confuse linked genes, which share any chromosome, with sex linked genes, which are on a sex chromosome.) Morgan studied two Drosophila genes: body color (b+ gray, b black) and wing size (vg+ normal, vg vestigial). He crossed F1 dihybrid females (b+b vg+vg) with tester males that were black and vestigial (bb vgvg). If the genes assorted independently, the four phenotype classes would appear 1:1:1:1. Instead he got:
- 965 gray, normal wings and 944 black, vestigial wings: the parental types, matching the combinations in the P generation.
- 206 gray, vestigial and 185 black, normal: the recombinant types, new combinations.
The excess of parental types meant the genes were on the same chromosome. But the recombinants meant the linkage was incomplete. Morgan proposed that crossing over between non-sister chromatids during prophase I of meiosis occasionally exchanges segments, creating chromosomes with new allele combinations. The recombination frequency is the percentage of offspring that are recombinant: (206 + 185) / 2,300 = 17 percent.
Genetic maps
Morgan's student Alfred Sturtevant reasoned that the farther apart two genes are on a chromosome, the more places a crossover can occur between them, and the higher their recombination frequency. He defined one map unit (now also called a centimorgan, cM) as a 1 percent recombination frequency and used the values to build a linkage map, a map of the relative order and spacing of genes. For example, the b to cn (cinnabar eye) distance is 9 map units, cn to vg is 9.5, and b to vg is 17. The order must be b, cn, vg, with cn in the middle. The b to vg value (17) is slightly less than the sum (18.5) because some chromatids have two crossovers between b and vg, which restore the parental combination and go uncounted.
Two rules keep map problems straight. First, recombination frequency can never exceed 50 percent. Genes far apart on the same chromosome cross over so often that they behave like unlinked genes and show a 1:1:1:1 testcross ratio; they are still physically linked but genetically unlinked. Second, in a three point cross, the rarest phenotype classes are the double crossovers; comparing them with the parental classes reveals which gene is in the middle. Map units measure recombination, not physical length, so they are only roughly proportional to base pairs, because crossing over is more frequent in some regions than others.
Genes sit on chromosomes. X linked genes show different patterns in the two sexes because males are hemizygous, and dosage is balanced in female mammals by X inactivation. Genes on the same chromosome are linked, but crossing over in prophase I produces recombinants, and recombination frequencies (1 percent = 1 map unit, maximum 50 percent) let geneticists map gene order.
Section 5Chromosomal alterations and human disorders
Nondisjunction and abnormal chromosome number
Meiosis normally delivers exactly one copy of each chromosome to each gamete. Occasionally the members of a homologous pair fail to separate in meiosis I, or sister chromatids fail to separate in meiosis II. This is nondisjunction. One gamete gets an extra copy of a chromosome and another gets none. If an abnormal gamete is fertilized by a normal one, the zygote has an abnormal number of that chromosome, a condition called aneuploidy. A zygote with three copies of a chromosome (2n + 1) is trisomic; one with only one copy (2n − 1) is monosomic. Nondisjunction during mitosis early in development produces a mosaic, with a mix of normal and aneuploid cells.
Most aneuploid embryos do not survive; aneuploidy is a major cause of first trimester miscarriage. The few that survive to birth involve the smallest autosomes or the sex chromosomes. Sex chromosome aneuploidies are tolerated better than autosomal ones because X inactivation silences extra X chromosomes and the Y carries few genes.
| Condition | Karyotype | Approximate frequency | Key features |
|---|---|---|---|
| Down syndrome | Trisomy 21 (47,XX or XY,+21) | About 1 in 700 births | Intellectual disability, characteristic facial features, short stature, heart defects, higher risk of leukemia and early Alzheimer disease; risk rises with maternal age |
| Edwards syndrome | Trisomy 18 | About 1 in 5,000 | Severe developmental problems, clenched fists, heart defects; most die within the first year |
| Patau syndrome | Trisomy 13 | About 1 in 10,000 to 16,000 | Cleft lip and palate, extra fingers, brain and eye defects; most die within the first year |
| Klinefelter syndrome | 47,XXY | About 1 in 500 to 1,000 males | Male with small testes, infertility, sometimes breast enlargement and tall stature |
| Turner syndrome | 45,X | About 1 in 2,500 females | The only viable human monosomy; short stature, nonfunctional ovaries, webbed neck, heart and kidney defects |
| Trisomy X | 47,XXX | About 1 in 1,000 females | Usually healthy and fertile, often taller than average; many are never diagnosed |
| XYY syndrome | 47,XYY | About 1 in 1,000 males | Usually taller than average, typically fertile, often with learning differences |
About 95 percent of Down syndrome cases result from nondisjunction, most often in the mother's meiosis I. Human oocytes begin meiosis before birth and pause in prophase I for decades, which may let the proteins holding homologs together weaken; that may explain why risk rises from roughly 1 in 1,500 births at age 20 to about 1 in 100 at age 40. Roughly 4 percent of cases come from a translocation and about 1 percent are mosaics.
Polyploidy
Sometimes an entire set of chromosomes is added, producing polyploidy: triploid (3n), tetraploid (4n) and so on. Polyploidy is rare and lethal in animals with chromosomal sex determination but is common and important in plants. Bread wheat is hexaploid (6n), descended from three ancestral species. Triploid organisms are usually sterile because three sets cannot pair evenly in meiosis; growers exploit this to produce seedless bananas and seedless watermelons.
Changes in chromosome structure
Breakage of a chromosome can produce four kinds of structural change.
- A deletion removes a segment. Deletion of part of the short arm of chromosome 5 causes cri du chat syndrome ("cry of the cat"), with intellectual disability and a high pitched, cat like cry in infancy.
- A duplication repeats a segment, often after unequal crossing over. Duplications are an important raw material of evolution because the extra copy can acquire a new function.
- An inversion reverses a segment within a chromosome. A pericentric inversion includes the centromere; a paracentric inversion does not. Carriers may be healthy but can produce unbalanced gametes when crossing over occurs within the inverted loop.
- A translocation moves a segment to a nonhomologous chromosome. In a reciprocal translocation two nonhomologous chromosomes exchange pieces. In a Robertsonian translocation the long arms of two acrocentric chromosomes (such as 14 and 21) fuse. A carrier of a balanced 14/21 translocation is healthy but can pass on an extra chromosome 21 arm, causing familial Down syndrome.
Exceptions to Mendelian inheritance
In genomic imprinting, certain genes are expressed differently depending on whether they were inherited from the mother or the father. Imprints are set during gamete formation by methylation of DNA and are reset each generation. A deletion in region 15q11 to q13 shows the effect vividly: if the deletion is on the chromosome inherited from the father, the child has Prader-Willi syndrome (poor muscle tone in infancy, then excessive eating and obesity, intellectual disability); if it is on the chromosome from the mother, the child has Angelman syndrome (severe intellectual disability, seizures, jerky movements and frequent laughter). The same deletion, two diseases, depending only on which parent it came from.
Genes in mitochondria and plastids are inherited outside the nucleus. Because the egg supplies almost all the cytoplasm of the zygote, mitochondrial genes pass from a mother to all her children and are not transmitted by fathers. Mitochondrial DNA mutations often affect tissues with high energy needs, such as the eye, brain and muscle (for example, Leber hereditary optic neuropathy). A cell can contain a mixture of normal and mutant mitochondria (heteroplasmy), so severity varies among siblings.
Errors in meiosis change chromosome number (nondisjunction producing trisomy or monosomy, or whole set additions in polyploidy), and breakage changes chromosome structure (deletions, duplications, inversions and translocations). Most such changes are lethal or cause recognizable syndromes. Imprinting and mitochondrial inheritance are further exceptions in which the parent of origin, not just the allele, matters.
The chapter in one breath
- Inheritance is particulate: each organism carries two alleles per gene, and the law of segregation sends one allele into each gamete.
- The law of independent assortment says alleles of different genes sort independently; both laws follow from homolog behavior in meiosis I.
- A monohybrid cross gives 3:1 phenotypes and 1:2:1 genotypes in the F2; a dihybrid cross gives 9:3:3:1; a testcross reveals an unknown genotype.
- The multiplication rule (and) and addition rule (or) solve multigene problems; the binomial expression handles "exactly k of n," and an unaffected sibling of an affected child is a carrier with probability 2/3.
- Pedigrees reveal modes of inheritance, and the chi-square test asks whether deviations from a predicted ratio are due to chance.
- Incomplete dominance gives 1:2:1 phenotypes; codominance expresses both alleles; ABO shows multiple alleles and codominance together.
- Pleiotropy is one gene with many effects; epistasis is one gene masking another (9:3:4, 9:7, 15:1); polygenic traits vary continuously.
- The environment, penetrance and expressivity all loosen the link between genotype and phenotype.
- Males are hemizygous for X linked genes, so X linked recessive disorders mostly affect males; X inactivation makes females mosaics.
- Linked genes travel together, but crossing over produces recombinants; 1 percent recombination equals 1 map unit, and the maximum is 50 percent.
- Nondisjunction causes aneuploidy such as trisomy 21, 47,XXY and 45,X; deletions, duplications, inversions and translocations change structure.
- Genomic imprinting and mitochondrial inheritance make the parent of origin matter.
Words worth knowing
| Term | What it means |
|---|---|
| Allele | One of the alternative versions of a gene found at the same locus. |
| Genotype | The genetic makeup of an organism for one or more genes. |
| Phenotype | The observable or measurable traits of an organism, including biochemical ones. |
| Dominant allele | An allele that determines the phenotype in a heterozygote. |
| Recessive allele | An allele whose effect is hidden in a heterozygote and seen only in a homozygote. |
| Law of segregation | The two alleles of a gene separate during gamete formation, so each gamete carries one. |
| Law of independent assortment | Alleles of different genes segregate independently of one another during gamete formation, as long as the genes are not linked. |
| Testcross | A cross of an individual of unknown genotype with a homozygous recessive individual to reveal the unknown genotype. |
| Pedigree | A family tree showing how a trait is inherited across generations. |
| Chi-square test | A statistical test of whether observed counts differ from expected counts by more than chance would explain. |
| Incomplete dominance | A heterozygote shows a phenotype intermediate between the two homozygotes. |
| Codominance | A heterozygote fully expresses both alleles, as in AB blood type. |
| Pleiotropy | The ability of one gene to affect several different phenotypic characters. |
| Epistasis | Interaction in which the genotype at one gene alters or masks the phenotypic effect of another gene. |
| Polygenic inheritance | Additive effects of two or more genes on a single, usually continuous, character. |
| Penetrance | The proportion of individuals with a genotype who show the expected phenotype. |
| Hemizygous | Having only one copy of a gene, as males do for X linked genes. |
| Barr body | The condensed, mostly inactive X chromosome in the cells of female mammals. |
| Linked genes | Genes close together on the same chromosome that tend to be inherited together. |
| Recombination frequency | The percentage of offspring that carry new allele combinations; used to estimate distance between genes. |
| Nondisjunction | Failure of homologs or sister chromatids to separate properly during cell division. |
| Aneuploidy | Having an abnormal number of one or more particular chromosomes, such as trisomy or monosomy. |
| Polyploidy | Having more than two complete sets of chromosomes. |
| Translocation | Movement of a chromosome segment to a nonhomologous chromosome. |
| Genomic imprinting | Expression of a gene that depends on whether it was inherited from the mother or the father. |
Check yourself
DNA Structure, Replication and Gene Expression
Every cell in your body carries about two meters of DNA folded into a nucleus a few micrometers wide, and nearly every time a cell divides it copies all three billion base pairs with fewer than one mistake per billion. That same molecule is read thousands of times a day to make the proteins that build and run you. This chapter explains how scientists proved DNA is the genetic material, how its structure makes copying possible, how genes are transcribed and translated into proteins, and what happens when the sequence changes.
By the end of this chapter you can
- Describe the experiments of Griffith, Avery and colleagues, and Hershey and Chase, and explain what each showed about the genetic material.
- Describe the double helix: nucleotides, antiparallel strands, complementary base pairing, Chargaff's rules and how DNA is packed into chromatin.
- Explain semiconservative replication and the roles of helicase, primase, DNA polymerases, ligase and topoisomerase at the replication fork.
- Contrast leading and lagging strand synthesis, explain the end replication problem and telomerase, and compare the main DNA repair pathways.
- Describe transcription in bacteria and eukaryotes, including promoters, RNA polymerases and termination.
- Explain RNA processing: the 5' cap, poly-A tail, splicing and alternative splicing.
- Read the genetic code and describe the roles of mRNA, tRNA, aminoacyl-tRNA synthetases and ribosomes in translation.
- Classify mutations as silent, missense, nonsense or frameshift and predict their effects on a protein.
- Name common mutagens and link specific mutations and repair defects to human disease.
Section 1The search for the genetic material and DNA structure
Protein or DNA?
By the 1930s, geneticists knew that genes sit on chromosomes and that chromosomes are made of two kinds of molecule: protein and DNA. Most scientists bet on protein. Proteins are built from 20 different amino acids and come in endless shapes, so they seemed rich enough to carry complex information. DNA, with only four kinds of nucleotides, looked too simple, perhaps just a structural scaffold. A series of experiments, mostly with bacteria and viruses, overturned that view.
Griffith and transformation
In 1928, Frederick Griffith was studying two strains of the bacterium Streptococcus pneumoniae in mice. The S strain made a smooth polysaccharide capsule that protected it from the immune system and was lethal. The R strain lacked a capsule, formed rough colonies and was harmless. Heat killed S cells were also harmless. But when Griffith injected a mixture of heat killed S cells and living R cells, the mice died, and he recovered living S bacteria from their blood. Something from the dead S cells had permanently changed the R cells into S cells, and the change was inherited by their descendants. Griffith called this transformation: a change in genotype and phenotype caused by uptake of external DNA, although he did not yet know DNA was the agent.
Avery, MacLeod and McCarty
In 1944, Oswald Avery, Colin MacLeod and Maclyn McCarty purified the transforming principle from S cell extracts. They treated samples with enzymes that destroy specific molecules. Protein digesting enzymes and RNA digesting enzymes left transformation intact, but DNase, which destroys DNA, abolished it. Their conclusion that the transforming substance was DNA was strong, but many biologists remained skeptical, partly because they suspected tiny amounts of contaminating protein and partly because bacteria were not yet thought to have genes like those of complex organisms.
Hershey and Chase
The decisive experiment came in 1952 from Alfred Hershey and Martha Chase, using bacteriophage T2, a virus that infects Escherichia coli. A phage is little more than a protein coat around DNA, and when it infects a cell it reprograms the cell to make new phages. The question was which part enters the cell and carries the instructions. Hershey and Chase exploited a chemical difference: proteins contain sulfur (in methionine and cysteine) but almost no phosphorus, while DNA contains phosphorus (in its backbone) but no sulfur.
- One batch of phages was grown with radioactive sulfur (35S), labeling their protein. Another batch was grown with radioactive phosphorus (32P), labeling their DNA.
- Each batch infected separate cultures of E. coli. After a few minutes, the cultures were agitated in a blender to shake loose any phage parts outside the cells.
- Centrifugation spun the heavier bacterial cells into a pellet and left the lighter phage coats in the liquid (supernatant).
- In the 35S batch, most radioactivity stayed in the liquid. In the 32P batch, most radioactivity was in the pellet, inside the cells, and some appeared in the next generation of phages.
The phage DNA, not its protein, had entered the cells and directed the production of new viruses. DNA was the genetic material.
Chargaff's rules
Meanwhile, Erwin Chargaff analyzed the base composition of DNA from many species. He found two patterns, now called Chargaff's rules. First, base composition varies from one species to another, which is exactly the kind of variety a genetic material needs. Second, within any species the amount of adenine equals thymine and the amount of guanine equals cytosine. In human DNA, for example, A and T are each about 30 percent and G and C are each about 20 percent. Nobody could explain the second rule until the double helix was discovered.
Building the double helix
A DNA nucleotide has three parts: a five carbon sugar called deoxyribose, a phosphate group and a nitrogenous base. The bases come in two families. The purines, adenine (A) and guanine (G), have a double ring. The pyrimidines, cytosine (C) and thymine (T), have a single ring (in RNA, uracil replaces thymine). Carbons of the sugar are numbered with primes: the base attaches to the 1' carbon, and the phosphate attaches to the 5' carbon.
Nucleotides join through phosphodiester bonds: the phosphate on the 5' carbon of one nucleotide links to the hydroxyl on the 3' carbon of the next. The result is a sugar-phosphate backbone with bases sticking out to the side. A strand has direction. One end has a free phosphate on a 5' carbon (the 5' end) and the other a free hydroxyl on a 3' carbon (the 3' end). Sequences are written 5' to 3' by convention.
Rosalind Franklin, working with Maurice Wilkins, produced X-ray diffraction images of DNA fibers. Her best image showed an X pattern that indicated a helix, and her measurements showed that the helix had a width of about 2 nm and repeating features at 0.34 nm and 3.4 nm. She also concluded that the phosphates lay on the outside. In 1953, James Watson and Francis Crick used her data, Chargaff's rules and model building to propose the structure.
- DNA is a double helix: two strands wound around each other, usually right handed (the B form).
- The sugar-phosphate backbones are on the outside and the bases point inward, stacked like the rungs of a twisted ladder.
- The two strands are antiparallel: one runs 5' to 3' and its partner runs 3' to 5'.
- Bases pair by hydrogen bonds: A with T (two hydrogen bonds) and G with C (three hydrogen bonds). Each pair is one purine plus one pyrimidine, which keeps the width a constant 2 nm and explains Chargaff's equalities.
- Adjacent base pairs are 0.34 nm apart and one full turn contains about 10 base pairs (10.5 in solution) in 3.4 nm.
- The winding creates a major groove and a minor groove, where proteins can read the edges of the bases without unwinding the helix.
Watson and Crick noted that the pairing rules immediately suggest how DNA could be copied: each strand carries the information to rebuild its partner. Because the strands are complementary, knowing one sequence gives you the other: the partner of 5'-ATGCCA-3' is 3'-TACGGT-5', written by convention as 5'-TGGCAT-3'.
Packing DNA into chromosomes
A bacterium such as E. coli has one circular chromosome of about 4.6 million base pairs, which is supercoiled and packed with proteins into a region called the nucleoid. Many bacteria also carry small circular plasmids. A human diploid cell has 46 linear chromosomes totaling about 6 billion base pairs (3.2 billion per haploid set), which would stretch about 2 meters if laid end to end. Eukaryotic DNA is packed in several levels with proteins, together called chromatin.
| Level of packing | Width | Description |
|---|---|---|
| Double helix | 2 nm | Naked DNA |
| Nucleosomes ("beads on a string") | 10 nm | DNA (about 147 bp) wrapped almost twice around a core of eight histones (two each of H2A, H2B, H3 and H4); positively charged lysine and arginine on histones bind the negatively charged phosphates |
| 30 nm fiber | 30 nm | Nucleosomes coiled together with help from histone H1 on the linker DNA |
| Looped domains | About 300 nm | Fibers form loops attached to a protein scaffold |
| Metaphase chromosome | About 700 nm per chromatid | Maximal condensation during mitosis |
During interphase, loosely packed euchromatin is accessible and can be transcribed, while densely packed heterochromatin (for example at centromeres, telomeres and the Barr body) is mostly silent. Cells change packing by chemically modifying histones, a topic in Chapter 7.
Transformation, enzyme destruction and phage labeling experiments proved that DNA carries genetic information. DNA is a right handed double helix of two antiparallel strands held together by A-T and G-C base pairs, a structure that both stores information in its sequence and suggests how it can be copied. Eukaryotic DNA is packed with histones into nucleosomes and higher levels of chromatin.
Section 2DNA replication and repair
Semiconservative replication
Watson and Crick predicted that each strand of the double helix serves as a template for a new partner strand. Under this semiconservative model, each daughter molecule would contain one old strand and one new strand. Two alternatives were possible: a conservative model, in which the parent helix stays intact and a completely new copy forms, and a dispersive model, in which every strand is a patchwork of old and new segments.
In 1958, Matthew Meselson and Franklin Stahl settled the question. They grew E. coli for many generations in a medium containing heavy nitrogen (15N), so all their DNA was dense. They then moved the cells to a medium with ordinary light nitrogen (14N) and extracted DNA after each round of replication. Density gradient centrifugation separated DNA by density. After one round, all the DNA formed a single band of intermediate (hybrid) density, which ruled out the conservative model. After two rounds, there were two bands, one hybrid and one light, which ruled out the dispersive model. Only the semiconservative model fit both results.
Getting started: origins and forks
Replication begins at specific sequences called origins of replication. The bacterial chromosome has a single origin, and replication proceeds in both directions until the two forks meet on the opposite side of the circle. Eukaryotic chromosomes are far longer and replication forks move more slowly (about 50 nucleotides per second in humans, compared with about 500 to 1,000 in bacteria), so each chromosome uses hundreds to thousands of origins. A human cell copies its 6 billion base pairs in a few hours this way. At each origin, proteins open a replication bubble, and at each end of the bubble is a Y shaped replication fork, where parental strands are unwound and new strands are made.
The proteins at the fork
| Protein | Job |
|---|---|
| Helicase | Unwinds the double helix at the fork by breaking hydrogen bonds between base pairs (uses ATP) |
| Single strand binding proteins | Coat the separated strands and keep them from re-pairing or forming hairpins |
| Topoisomerase | Works ahead of the fork, cutting, swiveling and rejoining DNA to relieve the overwinding strain created by unwinding |
| Primase | Makes a short RNA primer (about 5 to 10 nucleotides) to provide a 3' end for DNA polymerase |
| DNA polymerase III (bacteria); polymerases ε and δ (eukaryotes) | Main replicative enzymes: add nucleotides to the 3' end of a growing strand, complementary to the template; proofread |
| Sliding clamp | A ring that encircles DNA and holds the polymerase on the template so it can add thousands of nucleotides without falling off |
| DNA polymerase I (bacteria) | Removes RNA primers and replaces them with DNA |
| DNA ligase | Seals the remaining nick by forming a phosphodiester bond between adjacent fragments |
Why replication is lopsided: leading and lagging strands
Every DNA polymerase has two firm limits. It cannot start a strand from scratch; it can only add nucleotides to an existing 3' hydroxyl, which is why a primer is needed. And it can add nucleotides only to the 3' end, so new DNA always grows in the 5' to 3' direction. The energy for each addition comes from the incoming nucleoside triphosphate (such as dATP), which loses two phosphates as pyrophosphate when it joins the chain; hydrolysis of the pyrophosphate makes the reaction strongly favorable.
Because the two parental strands are antiparallel, these rules force the two new strands to be made differently. On one template, polymerase can follow the fork as it opens, adding nucleotides continuously after a single primer. This new strand is the leading strand. On the other template, synthesis in the 5' to 3' direction means moving away from the fork. The polymerase must make the strand in a series of short pieces, each started from its own primer as the fork exposes more template. This is the lagging strand, and its pieces are Okazaki fragments, about 1,000 to 2,000 nucleotides long in bacteria and 100 to 200 in eukaryotes. DNA polymerase I then replaces each RNA primer with DNA, and DNA ligase joins the fragments into a continuous strand.
Eukaryotic differences
Eukaryotes use the same logic with different enzymes. A complex of DNA polymerase α and primase starts each strand or fragment; DNA polymerase ε extends the leading strand, and DNA polymerase δ extends the lagging strand. Primers are removed by an RNase and a flap endonuclease rather than by a polymerase I, and the gaps are filled and sealed in the same way. Behind the fork, histones are rapidly reloaded so the new DNA is packed into nucleosomes.
Proofreading: how replication stays accurate
Base pairing alone would allow about one error in every 104 to 105 nucleotides. Replicative DNA polymerases have a 3' to 5' exonuclease activity that lets them back up, remove a mismatched nucleotide they have just added and try again. Proofreading improves accuracy about a hundredfold. After replication, mismatch repair enzymes scan the new strand for remaining errors, recognize which strand is new (in E. coli because it is not yet methylated) and replace the wrong nucleotide. Together these steps bring the final error rate to about one in 109 to 1010 nucleotides, roughly one mistake per human cell division.
The end replication problem and telomerase
Linear chromosomes have a problem at their ends. When the last RNA primer on a lagging strand is removed, there is no upstream 3' end from which polymerase can fill the gap. Each round of replication therefore leaves the daughter chromosome slightly shorter. Eukaryotic chromosome ends are capped by telomeres, repeated noncoding sequences (TTAGGG repeated hundreds to thousands of times in humans) bound by protective proteins. Telomeres act as buffers, so losing some sequence costs no genes, and they prevent cells from mistaking chromosome ends for broken DNA.
Telomeres shorten with each division in most somatic cells, which contributes to a limit of roughly 50 divisions for many human cells in culture. In germ cells and many stem cells, the enzyme telomerase restores telomere length. Telomerase is a reverse transcriptase that carries its own RNA template; it extends the 3' overhang of the chromosome with new repeats, after which primase and polymerase fill in the complementary strand.
DNA damage and repair
Beyond replication errors, DNA is constantly damaged. Each human cell suffers thousands of spontaneous lesions every day: bases lose amino groups (cytosine deaminates to uracil), purines fall off the backbone, reactive oxygen species oxidize bases, ultraviolet light fuses adjacent pyrimidines into thymine dimers, and ionizing radiation breaks both strands. Because the information is stored twice, once on each strand, most damage can be repaired by cutting out the damaged section and using the undamaged strand as a template. Cells have well over a hundred repair enzymes.
| Repair pathway | Damage it fixes | How it works | Human disease when defective |
|---|---|---|---|
| Mismatch repair | Mispaired bases and small loops left after replication | Recognizes the mismatch, removes a stretch of the new strand, resynthesizes it | Lynch syndrome (hereditary colorectal and other cancers) |
| Base excision repair | Single damaged bases (uracil in DNA, oxidized or alkylated bases) | A DNA glycosylase removes the base; an endonuclease cuts the backbone; polymerase and ligase fill in | Some inherited colorectal polyp syndromes |
| Nucleotide excision repair | Bulky lesions that distort the helix, such as thymine dimers | A nuclease cuts out a short strand segment around the damage; polymerase and ligase fill the gap | Xeroderma pigmentosum: extreme sun sensitivity and very high skin cancer risk |
| Nonhomologous end joining | Double strand breaks | Directly rejoins broken ends; fast but may lose or add a few nucleotides | Some immune deficiencies |
| Homologous recombination | Double strand breaks after replication | Uses the intact sister chromatid as a template for accurate repair | BRCA1 and BRCA2 mutations: high risk of breast and ovarian cancer |
DNA replication is semiconservative. Helicase opens the fork, primase lays down RNA primers, DNA polymerase extends them 5' to 3' continuously on the leading strand and in Okazaki fragments on the lagging strand, and ligase seals the pieces. Proofreading and mismatch repair make copying extremely accurate, telomerase maintains chromosome ends in some cells, and several repair pathways fix the constant damage that DNA suffers.
Section 3Transcription and RNA processing
From genes to proteins
How does a DNA sequence produce a trait? Early clues came from inherited metabolic diseases and from George Beadle and Edward Tatum, who studied mutant strains of the bread mold Neurospora that could not make particular nutrients. Each mutant lacked one enzyme in a biosynthetic pathway, which led to the one gene, one enzyme hypothesis. It was later refined to one gene, one polypeptide, since many proteins are not enzymes and many proteins have several polypeptide chains, and refined again once it became clear that some genes make functional RNAs that are never translated, and that one gene can give several polypeptides through alternative splicing.
The flow of genetic information is summarized by the central dogma: DNA is copied to DNA (replication), DNA is transcribed into RNA, and RNA is translated into protein. Retroviruses such as HIV add a reverse step, using reverse transcriptase to copy RNA into DNA. RNA is the intermediate because it lets a cell make many working copies of a gene without exposing the master copy, and because it allows each gene's output to be regulated separately.
| Feature | DNA | RNA |
|---|---|---|
| Sugar | Deoxyribose (no hydroxyl on the 2' carbon) | Ribose (hydroxyl on the 2' carbon, which makes RNA less stable) |
| Bases | A, G, C, T | A, G, C, U (uracil pairs with adenine) |
| Strands | Usually double stranded | Usually single stranded, but folds on itself into hairpins and complex shapes |
| Main types | Genomic DNA | mRNA (carries the code), tRNA (brings amino acids), rRNA (forms ribosomes), small regulatory RNAs |
| Lifetime | Permanent store of information | Minutes to days |
Template strand and coding strand
For any given gene, only one strand of DNA is read. This is the template strand (also called the noncoding or antisense strand). The RNA is complementary to it and antiparallel to it, and is built 5' to 3' as the polymerase reads the template 3' to 5'. The other DNA strand, the coding strand (sense strand), therefore has the same sequence as the RNA, except with T in place of U. When geneticists publish a gene sequence, they write the coding strand, so you can read codons directly from it. Different genes on the same chromosome may use different strands as templates.
RNA polymerase and the stages of transcription
RNA polymerase pries the two DNA strands apart and links ribonucleotides in the 5' to 3' direction. Unlike DNA polymerase, it needs no primer, and it proofreads much less, so transcription makes more errors than replication; this is tolerable because each RNA is temporary and made in many copies. Transcription has three stages.
- Initiation. RNA polymerase binds a promoter, a DNA sequence just upstream of the gene that marks where to start and which strand to read. The first nucleotide transcribed is called +1; positions before it are given negative numbers.
- Elongation. The polymerase unwinds about 10 to 20 base pairs at a time, forming a transcription bubble, and adds about 40 nucleotides per second in eukaryotes. Behind it, the DNA rewinds and the new RNA peels away. Several polymerases can transcribe one gene at once, one behind another.
- Termination. The polymerase stops and releases the RNA.
Bacteria compared with eukaryotes
| Feature | Bacteria | Eukaryotes |
|---|---|---|
| RNA polymerases | One, which makes all RNA | Three in the nucleus: RNA polymerase I (most rRNA), II (mRNA and some small RNAs), III (tRNA and 5S rRNA) |
| Promoter recognition | The sigma factor on polymerase recognizes the −35 (TTGACA) and −10 (TATAAT) sequences | Transcription factors bind first; for example, a protein in TFIID binds the TATA box about 25 to 30 nucleotides upstream, and polymerase II joins to form the transcription initiation complex |
| Termination | A terminator sequence; often a GC rich hairpin followed by a run of U's in the RNA (rho independent), or the rho protein (rho dependent) | Polymerase II transcribes past a polyadenylation signal (AAUAAA in the RNA); the RNA is cut 10 to 35 nucleotides downstream and polymerase soon falls off |
| Processing | Little or none; mRNA is ready immediately | Extensive: cap, tail and splicing in the nucleus |
| Location of translation | Begins while transcription is still going (coupled), since there is no nucleus | Only after the mature mRNA is exported to the cytoplasm |
| Genes per mRNA | Often several (polycistronic, from an operon) | Usually one (monocistronic) |
Eukaryotic RNA processing
In eukaryotes, the initial transcript from a protein coding gene is a pre-mRNA (primary transcript). Before it leaves the nucleus, enzymes modify both ends and remove interior segments.
- 5' cap. Soon after transcription starts, a modified guanine nucleotide (7-methylguanosine) is attached to the 5' end through an unusual 5' to 5' triphosphate linkage.
- Poly-A tail. After the transcript is cleaved downstream of the polyadenylation signal, an enzyme adds 50 to 250 adenine nucleotides to the 3' end.
The cap and tail help export the mRNA from the nucleus, protect it from degradation by exonucleases, and help ribosomes attach to the 5' end in the cytoplasm. The mature mRNA also keeps untranslated regions (5' UTR and 3' UTR) at each end that are not translated but influence stability and translation.
Splicing
Most eukaryotic genes are interrupted. The segments that are expressed in the final mRNA are exons; the intervening sequences removed from the transcript are introns. A typical human gene has about eight introns, and introns make up a large share of the length of most genes. RNA splicing removes the introns and joins the exons. It is carried out by the spliceosome, a large complex of proteins and small nuclear ribonucleoproteins (snRNPs), each containing small nuclear RNA. The snRNAs base pair with conserved sequences at the intron boundaries, almost always GU at the 5' end of the intron and AG at the 3' end, and with a branch point adenine inside the intron. The intron is released as a looped structure called a lariat, and the exons are joined. The snRNAs themselves catalyze key steps, which makes the spliceosome a ribozyme, an RNA molecule that acts as an enzyme. Some introns even splice themselves out without any proteins.
Why genes are in pieces
Introns may seem wasteful, but split genes provide two major advantages. First, alternative RNA splicing lets one gene produce different mRNAs, and therefore different polypeptides, by including or skipping particular exons. More than 90 percent of human multi-exon genes are alternatively spliced, which helps explain how roughly 20,000 protein coding genes yield a much larger number of proteins. Second, exons often encode separate structural and functional regions of a protein called domains. Introns make it easier for crossing over to shuffle exons between genes (exon shuffling), which can create new proteins during evolution.
Transcription copies the template strand of a gene into RNA, using RNA polymerase that needs no primer and is guided to the start by promoters, sigma factor in bacteria and transcription factors in eukaryotes. Eukaryotic pre-mRNA is capped, given a poly-A tail and spliced by the spliceosome, and alternative splicing lets one gene encode several proteins.
Section 4The genetic code and translation
Cracking the code
Four nucleotide bases must specify 20 amino acids. A code of one base per amino acid gives only 4 words, and two bases give only 16 (42). Three bases give 43 = 64 combinations, more than enough. Experiments confirmed that the code is read in nonoverlapping triplets called codons. In 1961, Marshall Nirenberg and Heinrich Matthaei added an artificial mRNA made only of uracil (poly-U) to a cell free protein synthesis system and obtained a polypeptide made only of phenylalanine, so UUU must code for phenylalanine. By the mid 1960s, all 64 codons had been deciphered.
| First base | Second base U | Second base C | Second base A | Second base G |
|---|---|---|---|---|
| U | UUU, UUC: Phe UUA, UUG: Leu | UCU, UCC, UCA, UCG: Ser | UAU, UAC: Tyr UAA, UAG: Stop | UGU, UGC: Cys UGA: Stop UGG: Trp |
| C | CUU, CUC, CUA, CUG: Leu | CCU, CCC, CCA, CCG: Pro | CAU, CAC: His CAA, CAG: Gln | CGU, CGC, CGA, CGG: Arg |
| A | AUU, AUC, AUA: Ile AUG: Met (start) | ACU, ACC, ACA, ACG: Thr | AAU, AAC: Asn AAA, AAG: Lys | AGU, AGC: Ser AGA, AGG: Arg |
| G | GUU, GUC, GUA, GUG: Val | GCU, GCC, GCA, GCG: Ala | GAU, GAC: Asp GAA, GAG: Glu | GGU, GGC, GGA, GGG: Gly |
The code has a handful of properties worth knowing precisely.
- Triplet and nonoverlapping: each codon is three bases, and successive codons do not share bases.
- Start and stop: AUG codes for methionine and also serves as the usual start codon. UAA, UAG and UGA are stop codons that code for no amino acid. That leaves 61 sense codons for 20 amino acids.
- Redundant (degenerate) but not ambiguous: most amino acids have more than one codon (leucine, serine and arginine have six each), but each codon specifies only one amino acid. Synonymous codons usually differ in the third base.
- Read in a fixed reading frame: the ribosome reads codons in groups of three from the start codon, so shifting the frame by one base changes every downstream codon.
- Nearly universal: the same code operates in bacteria, plants and animals, with minor variations in mitochondria and a few microorganisms. This is why a human gene inserted into bacteria can be expressed to make human insulin, and it is strong evidence that all life shares a common ancestor.
The players in translation
Transfer RNA (tRNA) molecules are the adapters that link codons to amino acids. Each tRNA is a single strand of about 80 nucleotides that folds, through internal base pairing, into a cloverleaf in two dimensions and an L shape in three. At one end of the L is the anticodon, a triplet that base pairs with a complementary codon in the mRNA; at the other end, the 3' end ending in CCA, is the attachment site for the amino acid. A tRNA with anticodon 3'-AAG-5' pairs with the mRNA codon 5'-UUC-3' and carries phenylalanine.
Each amino acid is joined to its correct tRNAs by a specific aminoacyl-tRNA synthetase. There are 20 of these enzymes, one per amino acid, and they spend ATP to form the bond; the resulting aminoacyl-tRNA (a "charged" tRNA) carries the energy that later forms a peptide bond. The synthetases are the real translators of the code, because they match the language of nucleic acids to the language of proteins, and they proofread their own work.
Cells have only about 45 kinds of tRNA, not 61, because of wobble: the pairing rules between the third base of a codon and the first base (5' end) of the anticodon are relaxed. For example, a tRNA whose anticodon has the modified base inosine (I) at the wobble position can pair with codons ending in U, C or A.
Ribosomes bring mRNA and charged tRNAs together and catalyze peptide bond formation. Each ribosome has a large and a small subunit, made of ribosomal RNA (rRNA) and proteins. Bacterial ribosomes are 70S (50S plus 30S subunits) and eukaryotic cytoplasmic ribosomes are 80S (60S plus 40S); S units measure sedimentation rate, so they do not add. A ribosome has an mRNA binding site and three tRNA binding sites.
- The A site (aminoacyl) holds the tRNA carrying the next amino acid.
- The P site (peptidyl) holds the tRNA carrying the growing polypeptide chain.
- The E site (exit) is where discharged tRNAs leave the ribosome.
Initiation
Initiation brings together the mRNA, the first tRNA and both ribosomal subunits. In bacteria, the small subunit binds the mRNA at a purine rich Shine-Dalgarno sequence just upstream of the start codon, which pairs with the 16S rRNA. In eukaryotes, the small subunit, already carrying the initiator tRNA, binds the 5' cap and scans down the mRNA until it reaches the first AUG in a favorable sequence context. The initiator tRNA carries methionine (a formylated methionine, fMet, in bacteria) and is the only tRNA that enters directly into the P site. Proteins called initiation factors help, using energy from GTP, and then the large subunit joins, completing the initiation complex with the A site empty and ready.
Elongation
Elongation adds amino acids one at a time in a three step cycle, each cycle moving the ribosome one codon toward the 3' end of the mRNA.
- Codon recognition. An aminoacyl-tRNA, escorted by an elongation factor bound to GTP, pairs its anticodon with the codon in the A site. GTP hydrolysis increases accuracy by giving the ribosome a moment to reject a wrong pairing.
- Peptide bond formation. The rRNA of the large subunit catalyzes a bond between the amino group of the new amino acid in the A site and the carboxyl end of the growing chain in the P site. The chain transfers to the tRNA in the A site. Because rRNA, not protein, does this chemistry, the ribosome itself is a ribozyme, and the catalytic activity is called peptidyl transferase.
- Translocation. A second elongation factor, using GTP, moves the ribosome forward one codon. The tRNA carrying the chain shifts to the P site, the empty tRNA shifts to the E site and leaves, and the A site opens for the next codon.
The polypeptide grows from its amino (N) terminus to its carboxyl (C) terminus, and exits through a tunnel in the large subunit. Each amino acid added costs about four high energy phosphate bonds: two to charge the tRNA (ATP to AMP) and two GTPs during elongation. A bacterial ribosome adds about 15 to 20 amino acids per second; a eukaryotic ribosome adds a few per second.
Termination and what happens next
When a stop codon reaches the A site, no tRNA matches it. Instead a protein called a release factor binds the stop codon and causes a water molecule to be added to the chain instead of an amino acid. This hydrolyzes the bond between the polypeptide and the tRNA in the P site, freeing the polypeptide; the subunits and mRNA then separate, using more GTP. A single mRNA is typically translated by many ribosomes at once, spaced along it like beads, forming a polyribosome (polysome). In bacteria, ribosomes attach to an mRNA even while it is still being transcribed.
A new polypeptide begins folding as it emerges, often helped by chaperone proteins, and many undergo post-translational modifications: addition of sugars, lipids or phosphate groups, removal of the first methionine, or cutting into smaller pieces (insulin is made as a single chain, proinsulin, that is cut to give two linked chains). Proteins destined for secretion, for membranes or for lysosomes begin with a signal peptide of about 20 hydrophobic amino acids. As it emerges, a signal recognition particle binds it, pauses translation and docks the ribosome on the rough ER, where the growing chain is threaded into the ER lumen or membrane. Proteins made on free ribosomes stay in the cytosol or are imported into the nucleus, mitochondria or other organelles.
The genetic code is a nearly universal, redundant but unambiguous triplet code with one start codon and three stop codons. Aminoacyl-tRNA synthetases load each tRNA with its correct amino acid, and ribosomes move along mRNA 5' to 3', matching anticodons to codons in the A site, forming peptide bonds with catalytic rRNA and translocating tRNAs from A to P to E. Release factors end translation, and signal peptides send some proteins to the ER.
Section 5Mutations and their effects
What a mutation is
A mutation is a permanent change in the nucleotide sequence of DNA. Mutations range from a single base pair to large chromosomal rearrangements (Chapter 5). They are the ultimate source of all new alleles and therefore of the genetic variation on which evolution acts, yet they are also the cause of inherited diseases and of cancer. Where a mutation occurs matters. A germline mutation arises in cells that give rise to gametes and can be passed to offspring, so it will be present in every cell of a child who inherits it. A somatic mutation arises in a body cell; it affects only that cell's descendants and is not inherited, but it can contribute to cancer.
Point mutations: substitutions
A point mutation changes a single nucleotide pair. In a base pair substitution, one pair is replaced by another. Substitutions are classified chemically as transitions (a purine replaced by a purine or a pyrimidine by a pyrimidine, such as A to G) or transversions (a purine replaced by a pyrimidine or the reverse); transitions are more common. More useful for predicting consequences is the effect on the protein.
- A silent mutation changes a codon to another codon for the same amino acid, usually at the third position (AAG to AAA still codes for lysine). The protein is unchanged, although rarely the change affects splicing or translation speed.
- A missense mutation changes a codon so that it specifies a different amino acid. The effect depends on the substitution. A conservative change swaps an amino acid for a chemically similar one (leucine for isoleucine) and may be harmless. A nonconservative change at a critical position can destroy function.
- A nonsense mutation changes an amino acid codon into a stop codon, ending translation early and producing a truncated, usually nonfunctional protein. Cells often destroy such mRNAs through a surveillance process called nonsense mediated decay.
Insertions, deletions and frameshifts
Adding (insertion) or removing (deletion) nucleotide pairs is usually more damaging than a substitution. Because mRNA is read in triplets, inserting or deleting a number of nucleotides that is not a multiple of three shifts the reading frame, a frameshift mutation. Every codon downstream of the change is read in the wrong groups of three, so the amino acid sequence becomes garbled and a stop codon usually appears soon. Inserting or deleting exactly three nucleotides (or a multiple of three) keeps the frame and adds or removes amino acids. The most common cystic fibrosis allele, ΔF508, is such an in frame deletion: three base pairs are missing and the protein lacks a single phenylalanine at position 508, which causes it to misfold and be destroyed before reaching the cell surface.
| Mutation type | Change in DNA | Effect on protein | Example |
|---|---|---|---|
| Silent | Substitution, usually third base | None; same amino acid | CTT to CTC (both leucine) |
| Missense | Substitution | One amino acid replaced; effect ranges from none to severe | Sickle cell (Glu6Val in β-globin) |
| Nonsense | Substitution creating a stop codon | Truncated protein, often nonfunctional | Some alleles for Duchenne muscular dystrophy and cystic fibrosis |
| Frameshift | Insertion or deletion not a multiple of three | Garbled sequence downstream, usually early stop | Many BRCA1 alleles; Tay-Sachs (a four base insertion) |
| In frame insertion or deletion | Multiple of three nucleotides | Amino acids added or removed; frame preserved | Cystic fibrosis ΔF508 |
| Trinucleotide repeat expansion | A three base repeat grows longer across generations | Toxic expanded protein or silenced gene | Huntington disease (CAG), fragile X syndrome (CGG) |
Repeat expansions
Some genes contain short tandem repeats that can lengthen when DNA polymerase slips during replication. In Huntington disease, a CAG repeat inside the coding sequence of the huntingtin gene, normally fewer than about 27 copies, expands to 36 or more, adding a long stretch of glutamine that makes the protein toxic to neurons. In fragile X syndrome, the most common inherited cause of intellectual disability, a CGG repeat in the 5' UTR of the FMR1 gene expands to more than 200 copies, becomes heavily methylated and shuts the gene off. Repeats tend to grow from one generation to the next, so these disorders often begin earlier or become more severe in later generations, a pattern called anticipation.
Causes of mutations
Spontaneous mutations arise from normal processes: rare mispairing during replication that escapes proofreading, slippage at repeats, loss of purine bases and deamination of cytosine to uracil. Mutations caused by external agents, mutagens, are called induced mutations.
- Base analogs resemble normal bases but pair incorrectly; 5-bromouracil resembles thymine but sometimes pairs with guanine.
- Chemical modifiers such as alkylating agents add groups to bases and change their pairing.
- Intercalating agents such as ethidium bromide and acridine dyes slip between stacked base pairs, distort the helix and cause insertions or deletions (frameshifts).
- Ultraviolet light creates thymine (pyrimidine) dimers that block replication and lead to errors if unrepaired; this is the main cause of skin cancers.
- Ionizing radiation (X-rays, gamma rays) breaks DNA strands, including double strand breaks.
- Many chemicals become mutagenic only after liver enzymes modify them, as with benzo[a]pyrene in tobacco smoke, which binds guanine and causes characteristic mutations in the p53 gene of lung cancers.
Because most carcinogens are mutagens, chemicals are screened with the Ames test. It uses mutant Salmonella bacteria that cannot make the amino acid histidine. The bacteria are exposed to the test chemical, usually mixed with a liver extract to mimic metabolism, and plated on medium lacking histidine. Only bacteria in which a new mutation has restored the histidine gene can grow, so the number of colonies measures the chemical's mutagenic strength.
Mutations, function and dominance
Most mutations in coding regions that change a protein reduce or abolish its function. These loss of function mutations are usually recessive, since one working allele often makes enough product (Chapter 5). A gain of function mutation gives a protein a new or increased activity and is usually dominant; a single changed copy of the RAS gene that locks its protein in the "on" state can drive a cell toward cancer. A dominant negative mutation makes a faulty protein that interferes with the normal one, as when mutant collagen chains spoil the triple helices in some forms of osteogenesis imperfecta. In cancer biology, gain of function mutations turn growth promoting proto-oncogenes into oncogenes, while loss of function mutations disable tumor suppressor genes such as p53 and BRCA1.
Most new mutations, however, have little or no effect, because they fall outside genes, are silent or cause conservative changes. Each human is born with a few dozen new mutations not present in either parent. A small fraction of mutations are beneficial in a particular environment, and these are the raw material that natural selection can spread through a population.
Mutations are permanent changes in DNA sequence that may be germline or somatic, spontaneous or induced. Substitutions can be silent, missense or nonsense; insertions and deletions not in multiples of three cause frameshifts; and repeat expansions underlie disorders such as Huntington disease and fragile X syndrome. Most mutations are neutral, many are harmful, and a few are beneficial and fuel evolution.
The chapter in one breath
- Transformation (Griffith), enzyme destruction (Avery, MacLeod and McCarty) and phage labeling (Hershey and Chase) showed that DNA is the genetic material.
- DNA is a right handed double helix of two antiparallel strands; A pairs with T by two hydrogen bonds and G with C by three, which explains Chargaff's rules.
- Eukaryotic DNA wraps around histone octamers to form nucleosomes and is packed into higher order chromatin.
- Replication is semiconservative (Meselson and Stahl) and begins at origins, forming replication forks.
- Helicase unwinds, primase makes RNA primers, DNA polymerase adds nucleotides only to a 3' end, so the leading strand is continuous and the lagging strand is made as Okazaki fragments joined by ligase.
- Proofreading and mismatch repair keep errors near one in a billion; telomerase extends chromosome ends; excision repair and double strand break repair fix damage.
- RNA polymerase transcribes the template strand 5' to 3' from a promoter, without a primer; the mRNA matches the coding strand with U for T.
- Eukaryotic pre-mRNA gets a 5' cap and poly-A tail, and the spliceosome removes introns; alternative splicing yields several proteins per gene.
- The genetic code uses 64 triplet codons: AUG starts, UAA, UAG and UGA stop, and the code is redundant, unambiguous and nearly universal.
- Aminoacyl-tRNA synthetases charge tRNAs; ribosomes match anticodons to codons in the A site, form peptide bonds with catalytic rRNA and move tRNAs to the P and E sites.
- Point mutations can be silent, missense or nonsense; insertions and deletions cause frameshifts unless they are multiples of three.
- Mutagens include base analogs, intercalators, UV light and ionizing radiation, and are screened with the Ames test.
Words worth knowing
| Term | What it means |
|---|---|
| Transformation | A change in a cell's genotype and phenotype caused by taking up external DNA. |
| Bacteriophage | A virus that infects bacteria; phage T2 was used to show that DNA is the genetic material. |
| Nucleotide | The monomer of nucleic acids, made of a five carbon sugar, a phosphate group and a nitrogenous base. |
| Purine | A double ring nitrogenous base: adenine or guanine. |
| Pyrimidine | A single ring nitrogenous base: cytosine, thymine or uracil. |
| Antiparallel | Running in opposite directions; one DNA strand runs 5' to 3' and its partner runs 3' to 5'. |
| Nucleosome | The basic unit of chromatin: about 147 base pairs of DNA wrapped around eight histone proteins. |
| Semiconservative replication | Replication in which each new double helix contains one parental strand and one new strand. |
| Origin of replication | A site where DNA replication begins, forming a replication bubble with two forks. |
| Helicase | An enzyme that unwinds the double helix at the replication fork. |
| Primase | An enzyme that makes the short RNA primer from which DNA polymerase extends a new strand. |
| DNA polymerase | An enzyme that adds nucleotides to the 3' end of a growing DNA strand using a template; most also proofread. |
| Okazaki fragment | A short segment of DNA made on the lagging strand and later joined to its neighbors by DNA ligase. |
| DNA ligase | An enzyme that seals nicks in the DNA backbone by forming a phosphodiester bond. |
| Telomerase | An enzyme with its own RNA template that adds telomere repeats to chromosome ends. |
| Nucleotide excision repair | Repair that removes a short stretch of a strand containing bulky damage such as a thymine dimer. |
| Promoter | A DNA sequence where RNA polymerase binds and starts transcription. |
| Template strand | The DNA strand that is read by RNA polymerase; the RNA is complementary to it. |
| Transcription factor | A protein that helps RNA polymerase bind a promoter or regulates transcription in eukaryotes. |
| Intron | A noncoding segment of a gene that is transcribed but spliced out of the RNA. |
| Exon | A segment of a gene that remains in the mature RNA after splicing. |
| Spliceosome | A complex of snRNPs and proteins that removes introns and joins exons. |
| Codon | A three nucleotide sequence in mRNA that specifies an amino acid or a stop signal. |
| Anticodon | The three base sequence on a tRNA that pairs with a complementary mRNA codon. |
| Aminoacyl-tRNA synthetase | An enzyme that attaches the correct amino acid to its tRNA using ATP. |
| Ribozyme | An RNA molecule that acts as a catalyst, such as the rRNA that forms peptide bonds. |
| Polyribosome | A single mRNA being translated by several ribosomes at once. |
| Missense mutation | A substitution that changes one codon to a codon for a different amino acid. |
| Nonsense mutation | A substitution that changes an amino acid codon into a stop codon. |
| Frameshift mutation | An insertion or deletion that is not a multiple of three and shifts the reading frame. |
| Mutagen | A physical or chemical agent that causes mutations. |
Check yourself
Gene Regulation and Biotechnology
Every cell in your body carries the same genome, yet a neuron, a liver cell and a red blood cell precursor look and behave nothing alike. The difference is not which genes they have but which genes they use, when, and how much. This chapter explains how bacteria and eukaryotes switch genes on and off, how controlled gene expression builds an embryo, and how the tools that grew out of that knowledge (PCR, cloning, sequencing and CRISPR) now let us read and rewrite DNA in medicine, agriculture and forensics.
By the end of this chapter you can
- Describe the parts of an operon and explain how the lac operon is controlled by both a repressor and the cAMP-CAP activator.
- Contrast inducible and repressible operons, and explain attenuation in the trp operon.
- Explain how chromatin structure, histone acetylation and DNA methylation control access to genes, and define epigenetics.
- Describe how enhancers, activators, mediator and combinatorial control regulate eukaryotic transcription, and list the steps of control after transcription, including alternative splicing and microRNAs.
- Explain how cytoplasmic determinants, induction and morphogen gradients drive differentiation, and trace the Drosophila gene cascade to the Hox genes.
- Distinguish totipotent, pluripotent and multipotent cells and explain how induced pluripotent stem cells are made.
- Explain how restriction enzymes, plasmid vectors, gel electrophoresis, PCR and Sanger sequencing work.
- Describe how CRISPR-Cas9 finds and cuts a target sequence and how cells repair the cut.
- Give examples of biotechnology in medicine, forensics and agriculture and weigh the main ethical questions they raise.
Section 1Gene regulation in bacteria: operons
Why regulate genes at all?
A bacterium such as Escherichia coli has roughly 4,300 protein coding genes, but it never needs all of their products at once. A cell that keeps making the enzymes to digest a sugar that is not present, or the enzymes to build an amino acid that is already plentiful, wastes resources and grows more slowly than a competitor that does not. Natural selection has therefore favored cells that match gene expression to their environment.
Bacteria can adjust metabolism in two broad ways. They can change the activity of enzymes that already exist, for example through feedback inhibition, in which the end product of a pathway binds an allosteric site on the first enzyme and slows it within seconds. Or they can change the amount of enzyme by controlling transcription of the genes that encode it. The second response is slower (minutes) but saves far more resources. In bacteria the main control point is the start of transcription, because transcription and translation are coupled in the cytoplasm and most bacterial mRNAs last only a few minutes.
The operon model
In 1961 François Jacob and Jacques Monod proposed that bacterial genes with related functions are often clustered and transcribed together under a single on and off switch. They called the unit an operon. An operon has three essential parts:
- A promoter, the DNA sequence where RNA polymerase (guided by its sigma factor) binds and begins transcription.
- An operator, a short DNA segment that usually overlaps or lies just downstream of the promoter. It is the switch: when a repressor protein binds the operator, it blocks RNA polymerase.
- The structural genes, the coding sequences for the enzymes or other proteins. They are transcribed as one long polycistronic mRNA that carries several coding regions, each with its own start and stop codon and ribosome binding site.
The repressor is encoded by a separate regulatory gene, which has its own promoter and is usually expressed continuously at a low level. Because the repressor is a diffusible protein, it can act on any copy of the operator in the cell. The operator, by contrast, is a DNA sequence that controls only the genes physically attached to it. This difference between a trans-acting factor (a diffusible product) and a cis-acting element (a DNA site) is one of the most useful ideas in all of gene regulation.
The lac operon: an inducible operon
E. coli prefers glucose, but it can live on lactose, the disaccharide of milk, by splitting it into glucose and galactose. The lac operon contains three structural genes. lacZ encodes β-galactosidase, which hydrolyzes lactose and also converts a little of it into the isomer allolactose. lacY encodes lactose permease, a membrane transporter that brings lactose into the cell. lacA encodes a transacetylase whose role in lactose use is minor. Upstream lies the regulatory gene lacI, which encodes the lac repressor.
When lactose is absent, the lac repressor is active and binds tightly to the operator. RNA polymerase can still sit at the promoter but cannot move into the genes, so almost no lac mRNA is made. When lactose enters the cell, the few molecules of β-galactosidase always present (a small leaky level of expression) convert some of it to allolactose. Allolactose is the inducer: it binds the repressor at an allosteric site, changes its shape and drops its affinity for the operator. The repressor falls off, and transcription begins. Because a small molecule switches the operon on, the lac operon is called an inducible operon. Inducible operons usually encode catabolic enzymes that break down a nutrient, and it makes sense to make them only when the nutrient is present.
Researchers often use IPTG, a synthetic look alike of allolactose, as an inducer. IPTG binds the repressor but is not broken down by β-galactosidase, so it keeps the operon switched on at a constant level.
Positive control: catabolite repression and CAP
Removing the repressor is necessary but not sufficient for strong expression. The lac promoter is weak; RNA polymerase binds it poorly on its own. Expression becomes high only when an activator helps polymerase bind. That activator is the catabolite activator protein (CAP, also called CRP). CAP can bind DNA only when it carries the small signaling molecule cyclic AMP (cAMP). When glucose is scarce, the enzyme adenylyl cyclase is active and cAMP levels rise; cAMP binds CAP, and the cAMP-CAP complex binds a site just upstream of the lac promoter, bends the DNA and contacts RNA polymerase, increasing transcription roughly fiftyfold. When glucose is plentiful, glucose transport keeps adenylyl cyclase inactive, cAMP falls, CAP leaves the DNA and lac expression stays low even if lactose is present. Glucose also reduces lactose uptake directly by inhibiting the permease, a process called inducer exclusion.
The result is a two input logic circuit. The repressor reports whether lactose is present; CAP reports whether glucose is absent. The cell commits to lactose only when it has lactose and lacks its preferred sugar. Because the lac operon and many other operons for alternative sugars all depend on cAMP-CAP, the cell can coordinate them as a group, an arrangement called catabolite repression. When E. coli is grown in a mixture of glucose and lactose, it uses up the glucose first, pauses briefly, then switches to lactose, giving the two phase growth curve (diauxie) that Monod first described.
| Glucose | Lactose | Repressor | cAMP-CAP | lac transcription |
|---|---|---|---|---|
| Present | Absent | Bound to operator | Not bound (cAMP low) | Off |
| Absent | Absent | Bound to operator | Bound | Off (repressor wins) |
| Present | Present | Released by allolactose | Not bound | Low (basal) |
| Absent | Present | Released by allolactose | Bound | High |
Mutations that revealed the logic
Jacob and Monod worked out the system with mutants. A lacI- mutant makes a nonfunctional repressor, so the operon is constitutive (always on). An operator constitutive mutant (lacOc) has an altered operator that the repressor cannot bind, so it too is constitutive. A lacIS (super repressor) mutant makes a repressor that cannot bind allolactose, so the operon can never be induced. To tell these apart they built partial diploid bacteria carrying a second copy of the lac region on an F plasmid. A normal lacI gene on the plasmid restored control to a lacI- chromosome, because the repressor diffuses (trans acting, and the mutation is recessive). But a normal plasmid could not rescue a lacOc chromosome, because an operator controls only the genes on its own DNA molecule (cis acting). The super repressor was dominant: its noninducible protein sat on both operators.
The trp operon: a repressible operon
The trp operon holds five genes (trpE, D, C, B and A) that encode the enzymes for making the amino acid tryptophan. Here the logic is reversed. The operon is normally on, because the cell usually needs tryptophan. The regulatory gene trpR makes a repressor in an inactive form (an aporepressor) that cannot bind the operator by itself. When tryptophan accumulates, tryptophan binds the repressor as a corepressor, activating it; the complex binds the operator and shuts transcription down. Because a small molecule turns the operon off, it is a repressible operon. Repressible operons usually encode anabolic enzymes that build a product, and it makes sense to stop building it when the product is abundant.
Attenuation: a second dial on the trp operon
The trp operon has a second control layer that depends on the coupling of transcription and translation. Before the first structural gene lies a leader sequence of about 160 nucleotides with four regions (1, 2, 3 and 4) that can pair in different ways. Region 1 encodes a short leader peptide with two tryptophan codons in a row. As soon as the 5' end of the transcript appears, a ribosome begins translating it.
- When tryptophan is plentiful, charged tryptophan tRNA is abundant, and the ribosome moves quickly through region 1 and covers region 2. Regions 3 and 4 then pair into a hairpin followed by a run of U's, which acts as a transcription terminator. RNA polymerase stops before reaching the structural genes.
- When tryptophan is scarce, the ribosome stalls at the two tryptophan codons in region 1. Region 2 is free to pair with region 3, forming an antiterminator that prevents the 3 to 4 terminator from forming, and RNA polymerase continues into the genes.
This attenuation fine tunes expression. Repression alone changes trp operon output about seventyfold; attenuation adds roughly another tenfold, so the combined range is several hundredfold.
| Feature | lac operon | trp operon |
|---|---|---|
| Type | Inducible | Repressible |
| Pathway | Catabolic (breaks down lactose) | Anabolic (builds tryptophan) |
| Default state | Off | On |
| Repressor as made | Active, binds operator | Inactive aporepressor |
| Small molecule | Allolactose (inducer) inactivates repressor | Tryptophan (corepressor) activates repressor |
| Positive control | cAMP-CAP activator | None of note |
| Extra layer | Catabolite repression, inducer exclusion | Attenuation in the leader sequence |
Beyond operons
Operons are only part of bacterial control. Bacteria use alternative sigma factors to redirect RNA polymerase to whole sets of genes at once, for example the heat shock genes or the genes for spore formation in Bacillus. Some mRNAs contain riboswitches, folded regions that bind a metabolite directly and change their own shape to stop transcription or block the ribosome binding site, with no protein involved. Many bacteria also sense their own population density by releasing and detecting small signal molecules, a process called quorum sensing, and switch on genes for light production, biofilm formation or toxins only when enough cells are present.
Bacteria control most genes at the start of transcription. An operon is a set of genes under one promoter and one operator. In the inducible lac operon, allolactose removes a repressor and cAMP-CAP adds an activator, so the genes run hard only when lactose is present and glucose is absent. In the repressible trp operon, tryptophan activates the repressor and attenuation adds a second, translation based brake.
Section 2Gene regulation in eukaryotes and epigenetics
Many control points, one goal
Eukaryotic cells face a harder problem than bacteria. A human has about 20,000 protein coding genes, and a multicellular body contains hundreds of cell types, each of which must express its own set of genes stably for years. A typical human cell expresses perhaps a third to a half of its genes, and the particular set defines what the cell is. Eukaryotic genes are also separated from ribosomes by the nuclear envelope, wrapped in chromatin, interrupted by introns, and transcribed one gene at a time rather than in operons. Each of these features creates an extra point where expression can be adjusted. Control is possible at every step from DNA to finished protein:
- Chromatin: how tightly the DNA is packed and chemically marked.
- Transcription: whether and how often RNA polymerase II starts at a promoter. This is still the most important step for most genes.
- RNA processing: capping, polyadenylation and especially alternative splicing.
- mRNA transport and stability: export from the nucleus and how long an mRNA survives in the cytoplasm.
- Translation: whether ribosomes start on an mRNA.
- Protein processing and degradation: cleavage, chemical modification, targeting and destruction.
Chromatin: packing as a control step
In the nucleus DNA wraps around octamers of histone proteins (two each of H2A, H2B, H3 and H4) to form nucleosomes, about 147 base pairs per core, like beads on a string. Nucleosomes fold further into fibers, loops and territories. Tightly packed heterochromatin is largely inaccessible to the transcription machinery and its genes are usually silent; looser euchromatin is where most active genes lie. Whether a gene sits in open or closed chromatin depends heavily on chemical marks on the histones and on the DNA itself.
Each histone has a flexible tail that sticks out of the nucleosome. Enzymes add and remove chemical groups on these tails:
- Histone acetylation: histone acetyltransferases (HATs) add acetyl groups to lysines. Acetylation neutralizes the positive charge of lysine, weakening the tail's grip on the negatively charged DNA and on neighboring nucleosomes. Chromatin opens, and acetylated lysines also serve as docking sites for proteins that promote transcription. Histone deacetylases (HDACs) remove the acetyl groups and help close chromatin.
- Histone methylation: methyl groups on lysines can either activate or repress, depending on which residue is marked. Trimethylation of lysine 4 on histone H3 (H3K4me3) marks active promoters; trimethylation of lysine 9 or lysine 27 (H3K9me3, H3K27me3) marks silenced regions.
DNA methylation works directly on the DNA. Enzymes called DNA methyltransferases add a methyl group to carbon 5 of cytosine, almost always where a C is followed by a G (a CpG site). Heavily methylated promoters are usually silent: methylated DNA attracts proteins that recruit histone deacetylases and compact the chromatin. Many promoters sit in CpG rich stretches called CpG islands that stay unmethylated in cells where the gene is active. Methylation patterns are copied when DNA replicates, because a maintenance methyltransferase recognizes a half methylated CpG on the new strand and methylates its partner. This copying lets a cell pass its pattern of silent genes to its daughters.
Transcription factors, promoters and enhancers
RNA polymerase II cannot recognize a promoter by itself. It needs general transcription factors (GTFs), a set of proteins that assemble at the core promoter. In many genes the core promoter contains a TATA box about 25 to 30 nucleotides upstream of the start site; the TATA binding protein, part of the factor TFIID, binds it and bends the DNA, and other factors and the polymerase join to form the transcription initiation complex. GTFs alone give only a low, basal rate of transcription. High rates, and the differences between cell types, come from specific transcription factors that bind control elements farther away.
Proximal control elements sit just upstream of the promoter. Distal control elements, grouped into enhancers, can lie thousands or even hundreds of thousands of base pairs upstream, downstream or inside an intron of the gene they control. Proteins that bind enhancers and stimulate transcription are activators; proteins that bind silencers and reduce it are repressors. A typical activator has a DNA binding domain that recognizes a specific sequence and an activation domain that contacts other proteins. DNA bending brings enhancer bound activators next to the promoter, where they contact the large mediator complex and the general factors, speeding assembly of the initiation complex. Activators also recruit histone acetyltransferases and chromatin remodeling complexes, opening the local chromatin. Insulators are boundary elements that keep an enhancer from acting on the wrong gene.
How can a few thousand transcription factors control 20,000 genes in hundreds of cell types? The answer is combinatorial control. Each enhancer contains binding sites for several different factors, and full activation requires a particular combination. A liver cell and a lens cell may both contain the same albumin and crystallin genes, but the liver cell has the right set of activators for the albumin enhancer and the lens cell has the set for the crystallin enhancer. A small number of factors, used in different combinations, can produce an enormous number of distinct patterns. Genes that must be expressed together, such as the genes a cell turns on in response to a steroid hormone, are coordinated not by being in an operon but by sharing the same control element in their enhancers, so that one activated factor binds all of them.
| Level | Mechanism | Example |
|---|---|---|
| Chromatin | Histone acetylation and methylation, DNA methylation, remodeling | X chromosome inactivation; silencing of imprinted genes |
| Transcription initiation | Activators and repressors at enhancers and silencers, mediator, GTFs | Steroid hormone receptors binding hormone response elements |
| RNA processing | Alternative splicing, alternative polyadenylation | Troponin T and many other muscle proteins in multiple isoforms |
| mRNA stability | Poly-A tail length, AU rich elements, microRNAs | Short lived cytokine mRNAs; long lived globin mRNA in red cell precursors |
| Translation | Initiation factor phosphorylation, RNA binding proteins | Ferritin mRNA translated only when iron is high |
| Protein | Cleavage, phosphorylation, ubiquitin tagging and proteasome destruction | Cyclins destroyed at set points in the cell cycle |
Control after transcription
Alternative splicing lets one gene make several proteins. By including or skipping particular exons, a cell can produce different isoforms from the same pre-mRNA. More than nine in ten human genes with multiple exons are alternatively spliced, which helps explain how a modest number of genes yields a far larger set of proteins.
Once in the cytoplasm, an mRNA's lifespan strongly affects how much protein it makes. Some mRNAs last minutes, others days.
Noncoding RNAs are a major regulatory force. MicroRNAs (miRNAs) are about 22 nucleotides long. A miRNA gene is transcribed into a precursor that folds into a hairpin; the enzyme Dicer trims the hairpin, and one strand is loaded into a protein complex (built around an Argonaute protein) called the RNA induced silencing complex. The miRNA then base pairs with matching sequences, usually in the 3' untranslated region of target mRNAs. Partial pairing blocks translation and speeds degradation; near perfect pairing triggers cleavage. One miRNA can regulate hundreds of mRNAs, and well over half of human protein coding genes are thought to be miRNA targets. Small interfering RNAs (siRNAs) are similar in size and use the same machinery but come from longer double stranded RNA, for example from viruses or experimentally introduced RNA. The silencing of genes by these small RNAs is called RNA interference (RNAi), and it is now used both as a research tool and in approved drugs. Longer long noncoding RNAs help organize chromatin, as XIST does in X inactivation.
Finally, cells control translation and protein lifetime. Initiation can be blocked globally, for instance by phosphorylating an initiation factor during stress, or for single mRNAs by proteins that bind regulatory sequences. Many proteins are inactive until cut or chemically modified. Proteins destined for destruction are tagged with chains of the small protein ubiquitin and fed into a proteasome, a barrel shaped protease complex. Timed destruction of regulatory proteins, such as cyclins, drives events like the cell cycle.
Epigenetics
Epigenetic inheritance refers to changes in gene expression that are passed through cell divisions (and sometimes across generations) without any change in the DNA sequence. DNA methylation and some histone marks are the best understood carriers of this cellular memory. When a skin stem cell divides, its daughters remain skin cells, partly because the pattern of silenced and open genes is copied along with the DNA.
Several classic phenomena are epigenetic:
- X chromosome inactivation. In female mammals one X chromosome in each cell of the early embryo is randomly chosen to be silenced. The chosen X expresses the long noncoding RNA XIST, which coats it and recruits repressive histone marks and DNA methylation. It condenses into a Barr body, and all descendants of that cell keep the same X silent. Females are therefore mosaics, as seen in the orange and black patches of calico cats.
- Genomic imprinting. For a small number of genes (on the order of 100 to 200 in humans), only the copy from one parent is expressed, because methylation marks laid down in egg or sperm silence the other. Loss of the same chromosome region on chromosome 15 causes Prader-Willi syndrome if the paternal copy is missing and Angelman syndrome if the maternal copy is missing.
- Environmental effects. Diet, stress, toxins and aging can shift methylation. In mice carrying a particular agouti allele, the mother's diet during pregnancy alters methylation of the gene and changes the coat color and obesity risk of her pups.
Eukaryotic expression can be adjusted at every step from chromatin to protein. Open, acetylated chromatin and unmethylated promoters allow transcription; activators bound to enhancers act through mediator to start RNA polymerase II, and combinations of factors give each cell type its own program. After transcription, alternative splicing, mRNA stability, microRNAs, translation control and protein degradation refine the output. Epigenetic marks let a cell remember its pattern of gene use through division.
Section 3Development and differential gene expression
Three processes build a body
A human begins as a single fertilized egg, the zygote, and becomes a body of tens of trillions of cells. Three processes overlap to make this happen. Cell division increases the number of cells. Cell differentiation makes cells specialized in structure and function. Morphogenesis ("creation of form") shapes tissues and organs through cell movement, changes in cell shape, selective growth and programmed cell death. All three depend on cells expressing different genes from the same genome, a principle called differential gene expression.
The evidence that differentiated cells keep a complete genome came from nuclear transplantation. In frogs, nuclei taken from tadpole intestinal cells and placed into enucleated eggs sometimes produced swimming tadpoles. In 1996 the sheep Dolly was cloned from the nucleus of an adult mammary cell. These experiments showed that development does not usually remove genes; it changes which genes are used, and an egg's cytoplasm can, at least sometimes, reset a nucleus to an embryonic state.
Determination and differentiation
Before a cell looks specialized, its fate is often already fixed. Determination is the commitment of a cell to a particular fate; differentiation is the visible result, when the cell makes tissue specific proteins. Muscle offers the clearest example. Embryonic cells become myoblasts when they begin expressing MyoD, a master regulatory gene that encodes a transcription factor. MyoD activates more MyoD (a positive feedback loop that locks the decision in) and turns on genes for other muscle transcription factors, which in turn activate genes for myosin, actin and other muscle proteins. Myoblasts fuse into multinucleate muscle fibers.
How cells learn where they are
Cells acquire different fates through two kinds of information.
- Cytoplasmic determinants are maternal mRNAs and proteins placed unevenly in the egg. When the zygote divides, each daughter inherits a different share, so the nuclei in different cells are exposed to different regulators from the start.
- Induction is signaling between cells. Neighboring cells release or display signal molecules that change gene expression in target cells through signal transduction pathways. Induction is how the developing eye cup tells overlying ectoderm to form a lens, and how the notochord tells the ectoderm above it to form the neural plate.
Many signals form gradients. A substance that spreads from a source and tells cells their position by its concentration is a morphogen. Cells exposed to high, medium and low concentrations turn on different genes, so a single gradient can divide a field of cells into several zones. The overall process by which cells acquire a spatial organization, with a head here and a tail there and limbs in the right places, is called pattern formation, and the molecular cues involved are called positional information.
The fruit fly: a cascade from gradient to segment
Much of what we know about pattern formation comes from Drosophila melanogaster, whose larva and adult are built of repeated segments: head segments, three thoracic segments and eight or so abdominal segments. Researchers screened thousands of mutant embryos for defects in the body plan and found that a hierarchy of genes lays out the pattern step by step.
- Maternal effect genes are expressed by the mother and their products are placed in the egg. The best known is bicoid. Its mRNA is anchored at the anterior end of the egg; after fertilization it is translated, and the protein diffuses backward, forming a concentration gradient. Embryos from mothers lacking bicoid have no head or thorax and instead develop tail structures at both ends. Injecting bicoid mRNA into the middle of an egg produces head structures there. Bicoid was the first morphogen to be identified, and it confirmed that a gradient of a single protein could set up an axis. Another maternal product, nanos, is concentrated at the posterior.
- Gap genes, such as hunchback and Krüppel, are switched on in broad bands depending on the Bicoid concentration. A mutation in a gap gene removes a block of several adjacent segments, leaving a "gap".
- Pair-rule genes, such as even-skipped and fushi tarazu, are expressed in seven stripes. Mutants lack every other segment.
- Segment polarity genes, such as engrailed and wingless, are expressed in fourteen stripes and set the front and back of each segment.
- Homeotic genes, also called Hox genes, specify what each segment becomes: antenna bearing, leg bearing, wing bearing and so on. Mutations transform one body part into another. The dominant Antennapedia mutation puts legs where antennae should be; loss of Ultrabithorax function turns the third thoracic segment into a copy of the second, giving a fly with four wings.
Each class of genes encodes transcription factors (or signaling proteins) that regulate the next, so a crude gradient is refined into a precise pattern. This is a pure example of differential gene expression: every nucleus has the same genes, but each reads a different combination.
| Gene class | Example | Expression pattern | Mutant phenotype |
|---|---|---|---|
| Maternal effect (egg polarity) | bicoid | Anterior gradient made from maternal mRNA | No head or thorax; tail at both ends |
| Gap | hunchback, Krüppel | Broad bands | Block of adjacent segments missing |
| Pair-rule | even-skipped, fushi tarazu | Seven stripes | Every other segment missing |
| Segment polarity | engrailed, wingless | Fourteen stripes | Part of each segment replaced by mirror image of another part |
| Homeotic (Hox) | Antennapedia, Ultrabithorax | Overlapping domains along the body | One body part turned into another |
Hox genes are shared by animals
Every Hox gene contains a 180 nucleotide stretch called the homeobox, which encodes a 60 amino acid DNA binding homeodomain. Homeobox genes are found in nearly all animals, as well as in plants and fungi. Flies have one Hox cluster; mammals have four clusters with 39 Hox genes. In both, the genes lie on the chromosome in the same order as the body regions they pattern, from head to tail, a striking property called colinearity. The deep conservation of this genetic toolkit is why much of evolution of body form reflects changes in where and when shared regulatory genes are expressed, rather than the invention of new genes, a theme taken up in later chapters.
Apoptosis and the worm
The nematode Caenorhabditis elegans has a fixed, fully mapped cell lineage: the adult hermaphrodite has 959 somatic cells, and exactly 131 other cells die by apoptosis (programmed cell death) during development. Genetic studies of these deaths identified the core death machinery (proteins called Ced-9, Ced-4 and Ced-3) whose human relatives include the Bcl-2 family and the caspases.
Stem cells and reprogramming
A stem cell can divide indefinitely and produce both more stem cells and specialized cells. Cells differ in how many fates remain open:
- A totipotent cell, such as the zygote and the earliest blastomeres, can form an entire organism, including the placenta and other extraembryonic tissues.
- A pluripotent cell can form every cell type of the body but not a whole organism. Embryonic stem cells, taken from the inner cell mass of a blastocyst, are pluripotent.
- A multipotent cell can form a limited set of related types. Adult hematopoietic stem cells in bone marrow make all blood cell types but not neurons.
In 2006 researchers showed that adding just four transcription factor genes (Oct4, Sox2, Klf4 and c-Myc) to adult mouse skin cells converted them into induced pluripotent stem cells (iPS cells) that behave much like embryonic stem cells. Human iPS cells followed a year later. Because iPS cells can be made from a patient's own tissue, they avoid immune rejection and many of the ethical objections to using embryos, and they are used to model diseases in a dish, screen drugs and develop cell replacement therapies.
Development uses one genome to build many cell types through differential gene expression. Cytoplasmic determinants and induction give cells different starting information; master regulators such as MyoD lock in fates; morphogen gradients such as Bicoid set off a cascade of gap, pair-rule, segment polarity and Hox genes that pattern the body. Apoptosis removes unneeded cells, and stem cells keep a reserve of developmental potential that can even be restored by reprogramming.
Section 4DNA technology: PCR, cloning, sequencing and CRISPR
Cutting and joining DNA
Modern biotechnology began with enzymes borrowed from bacteria. Restriction enzymes (restriction endonucleases) protect bacteria by cutting foreign DNA, such as phage DNA, at specific short sequences called restriction sites, usually 4 to 8 base pairs long. The bacterium's own DNA is protected because its sites are methylated. Most restriction sites are palindromic: the sequence reads the same 5' to 3' on both strands. The enzyme EcoRI, for example, recognizes GAATTC and cuts between G and A on each strand. The staggered cuts leave short single stranded overhangs called sticky ends, which can base pair with any other fragment cut by the same enzyme. Other enzymes cut straight across, leaving blunt ends. DNA ligase then seals the sugar phosphate backbones, making a permanent recombinant DNA molecule.
Gene cloning in bacteria
To make many copies of a gene, researchers insert it into a cloning vector, a DNA molecule that can replicate in a host cell. The most common vectors are bacterial plasmids, small circular DNAs engineered to carry an origin of replication, an antibiotic resistance gene for selection and a multiple cloning site with several unique restriction sites. A typical workflow:
- Cut the plasmid and the source DNA with the same restriction enzyme.
- Mix them so sticky ends pair, and seal with DNA ligase.
- Transform bacteria with the products, using heat shock or an electric pulse to let DNA enter.
- Grow the cells on medium containing the antibiotic, so only cells that took up a plasmid survive.
- Screen for colonies whose plasmid carries the insert. In blue-white screening, the cloning site lies inside part of the lacZ gene; plasmids without an insert make β-galactosidase and turn colonies blue on the indicator X-gal, while plasmids with an insert disrupt lacZ and give white colonies.
Each colony grows from one cell, so all its plasmids carry the same insert: a clone. Eukaryotic genes expressed in bacteria are usually cloned as cDNA (complementary DNA), made by copying mature mRNA with reverse transcriptase, because bacteria cannot remove introns. Collections of clones representing a whole genome or all the mRNAs of a tissue are called genomic libraries and cDNA libraries.
Gel electrophoresis
Gel electrophoresis separates DNA fragments by size. Samples are loaded into wells in a slab of agarose gel and an electric field is applied. Because DNA's phosphate backbone is negatively charged, fragments move toward the positive electrode. The gel acts as a sieve, so shorter fragments move farther than longer ones. A ladder of fragments of known size run beside the samples allows sizes to be estimated, and a fluorescent dye makes the bands visible.
The polymerase chain reaction
The polymerase chain reaction (PCR) copies a chosen stretch of DNA billions of times in a few hours without cells. A reaction contains the template DNA, two short single stranded DNA primers (each about 18 to 25 nucleotides) that flank the target and match opposite strands, the four dNTPs, and a heat stable DNA polymerase, classically Taq polymerase from the hot spring bacterium Thermus aquaticus. A thermal cycler repeats three steps:
- Denaturation at about 94 to 98 °C separates the two strands.
- Annealing at about 50 to 65 °C lets the primers base pair with their complementary sequences.
- Extension at about 72 °C lets the polymerase add nucleotides to the 3' end of each primer.
Each cycle doubles the number of target molecules, so n cycles give up to 2n copies: 30 cycles produce about a billion. After the first few cycles, most products are exactly the length defined by the two primers. Heat stability matters because an ordinary polymerase would be destroyed in the first denaturation step.
Variations extend PCR's reach. RT-PCR first converts RNA to cDNA with reverse transcriptase, so it detects RNA viruses or measures gene expression. Quantitative (real time) PCR follows a fluorescent signal cycle by cycle; the earlier the signal crosses a threshold, the more template was present at the start. Diagnostic tests for many infections, including the respiratory virus tests used during the COVID-19 pandemic, are RT-PCR assays.
DNA sequencing
Sanger sequencing (the dideoxy chain termination method) copies a template with DNA polymerase in the presence of normal dNTPs and a small amount of dideoxynucleotides (ddNTPs). A ddNTP lacks the 3' hydroxyl group, so once it is added no further nucleotide can attach and the chain stops. Each of the four ddNTPs carries a different fluorescent dye. The result is a set of fragments ending at every position, each labeled by its final base. Capillary electrophoresis sorts them by length, and a detector reads the colors in order, giving the sequence. Sanger reads are about 700 to 1,000 bases and very accurate, and the method was the workhorse of the original Human Genome Project.
Next generation sequencing reads millions to billions of short fragments in parallel, usually by detecting each nucleotide as it is added in a cycle of synthesis, then reassembles them by computer. Together these methods have cut the cost of a human genome by roughly a millionfold since the first draft, making whole genome sequencing routine in research and increasingly in medicine. Sequencing RNA (as cDNA) in bulk, called RNA-seq, measures the expression of every gene in a tissue at once.
CRISPR-Cas9 genome editing
CRISPR (clustered regularly interspaced short palindromic repeats) began as a bacterial immune system. Bacteria store short pieces of viral DNA as "spacers" between repeats in their own genome, transcribe them into small guide RNAs, and use Cas nucleases guided by those RNAs to cut matching viral DNA in a later infection. In 2012 researchers showed that the Cas9 protein from Streptococcus pyogenes, combined with a single engineered guide RNA, could be directed to cut almost any chosen DNA sequence, work recognized with the 2020 Nobel Prize in Chemistry.
The guide RNA contains a 20 nucleotide spacer that matches the target, joined to a scaffold that binds Cas9. Cas9 scans DNA for a short protospacer adjacent motif (PAM), which for this Cas9 is NGG (any base followed by two G's). At a PAM, Cas9 unwinds the adjacent DNA; if the spacer base pairs with it, Cas9 makes a blunt double strand cut about 3 base pairs upstream of the PAM. The cell then repairs the break in one of two ways:
- Nonhomologous end joining (NHEJ) glues the ends back together but often adds or removes a few nucleotides. These small indels usually shift the reading frame and knock out the gene.
- Homology directed repair (HDR) copies a template with matching sequence on each side. If researchers supply a template carrying a desired change, the cell writes that change into the genome.
Newer variants avoid double strand breaks. Base editors fuse a disabled Cas9 to an enzyme that converts one base to another (for example C to T) directly, and prime editors carry their own short RNA template for small insertions, deletions or substitutions. A Cas9 with both cutting sites disabled can be fused to activators or repressors to switch genes on or off without changing the sequence at all.
| Tool | What it does | Key idea |
|---|---|---|
| Restriction enzyme | Cuts DNA at a specific site | Palindromic sites; sticky or blunt ends |
| DNA ligase | Seals backbone nicks | Joins insert and vector into recombinant DNA |
| Plasmid vector | Carries DNA into and replicates in bacteria | Origin, selectable marker, cloning site |
| Reverse transcriptase | Copies RNA into cDNA | cDNA lacks introns; basis of RT-PCR |
| Gel electrophoresis | Separates DNA by size | DNA runs to the positive pole; small runs farthest |
| PCR | Amplifies a target sequence | Denature, anneal, extend; 2n copies |
| Sanger sequencing | Reads a sequence | Dye labeled ddNTPs end chains |
| CRISPR-Cas9 | Cuts a chosen sequence | Guide RNA plus PAM; repair by NHEJ or HDR |
Restriction enzymes, ligase and plasmids let us cut, join and copy DNA in cells; gel electrophoresis sorts it by size; PCR copies a chosen target exponentially using primers and a heat stable polymerase; sequencing reads it, by chain termination or massively parallel methods; and CRISPR-Cas9 uses a guide RNA to cut a chosen site so the cell's own repair can disrupt or rewrite a gene.
Section 5Applications and ethics of biotechnology
Medicine
The first product of recombinant DNA approved as a drug was human insulin, made by bacteria carrying the human insulin gene, in 1982. It replaced insulin purified from pig and cattle pancreas and could be produced in unlimited amounts. Human growth hormone, clotting factors for hemophilia, erythropoietin for anemia, and many monoclonal antibodies are now made in engineered bacteria, yeast or cultured mammalian cells. The hepatitis B vaccine is a viral surface protein produced in yeast, and mRNA vaccines deliver an mRNA that the body's own cells translate into a viral protein.
Gene therapy introduces a working gene, or edits a faulty one, in a patient's cells. Common carriers are disabled viruses: adeno-associated virus vectors, which mostly stay outside the chromosomes, and lentivirus vectors, which integrate. Approved gene therapies now treat an inherited form of blindness, spinal muscular atrophy in infants and some blood disorders. In CAR T cell therapy, a patient's T cells are engineered to carry a receptor that recognizes a cancer cell protein, then returned to attack the cancer. In 2023 the first CRISPR based therapy was approved for sickle cell disease: blood stem cells are removed, an enhancer of the BCL11A gene is disrupted so that the cells resume making fetal hemoglobin, and the cells are returned.
Forensics and identification
Forensic DNA profiling compares short tandem repeats (STRs), sites where a 2 to 5 base unit is repeated a variable number of times. Each person has two alleles at each STR locus, one from each parent, and the number of repeats varies widely among people. PCR with fluorescent primers amplifies a standard panel of loci (20 in the United States database), and the products are sized by capillary electrophoresis. Because the loci are inherited independently, the chance that two unrelated people match at all of them is vanishingly small.
Agriculture and the environment
A genetically modified organism (GMO) carries DNA altered by genetic engineering; if the DNA came from another species it is transgenic. Plants are often transformed with the Ti plasmid of the soil bacterium Agrobacterium tumefaciens, which naturally transfers a segment of DNA into plant chromosomes. Important examples include Bt crops, which make a Cry protein from Bacillus thuringiensis that is toxic to certain insect larvae but not to mammals and so reduce insecticide spraying; herbicide tolerant crops; papaya engineered to resist ringspot virus, which rescued an island papaya industry; and Golden Rice, which makes β-carotene to combat vitamin A deficiency. CRISPR now allows small edits, such as knocking out a browning gene, without adding foreign DNA. Engineered microbes help with bioremediation (cleaning up oil and toxic metals) and with producing biofuels and industrial enzymes.
Ethical questions
Biotechnology raises questions that science alone cannot settle, and informed citizens need to weigh them:
| Issue | Concern | Common safeguards or responses |
|---|---|---|
| Food and environmental safety of GMOs | Allergens, gene flow to wild relatives, pest resistance | Case by case regulatory review, refuges, monitoring; major scientific bodies find approved GM foods as safe as conventional foods |
| Germline editing | Changes pass to future generations; off target edits; consent of people not yet born | Broad international view that heritable human editing is not yet acceptable; somatic editing is regulated like other therapies |
| Genetic privacy | Insurers, employers or police using genetic data; relatives identified through genealogy databases | Laws such as the Genetic Information Nondiscrimination Act (health insurance and employment), consent rules |
| Access and equity | Gene therapies can be extremely expensive | Debate over pricing, public funding and global access |
| Enhancement | Editing for traits rather than disease | Professional guidelines; most limit editing to serious disease |
| Dual use and biosafety | Knowledge that could be misused | Containment levels, oversight of risky experiments |
A useful habit is to separate three questions: is it safe (an empirical question), is it effective (also empirical), and is it right (a question of values about consent, fairness and the kind of world we want). In 2018 the birth of twins whose embryos had been edited with CRISPR was widely condemned on all three grounds: the edit was medically unnecessary, its effects were uncertain, and the families and future children could not give truly informed consent.
Biotechnology turns basic knowledge of DNA into recombinant drugs, vaccines, gene and cell therapies, forensic STR profiling and engineered crops and microbes. Each application brings questions of safety, effectiveness and values; the sharpest debates concern heritable editing, privacy, equity and the ecological effects of modified organisms.
The chapter in one breath
- Bacteria control genes mainly at transcription using operons: a promoter, an operator and several structural genes read as one mRNA.
- The lac operon is inducible: allolactose inactivates the repressor, and cAMP-CAP activates transcription only when glucose is low.
- The trp operon is repressible: tryptophan activates its repressor, and attenuation stops transcription in the leader when tryptophan is plentiful.
- In eukaryotes, histone acetylation opens chromatin and DNA methylation silences it; these marks carry epigenetic memory.
- Activators on enhancers work through mediator; combinatorial control gives each cell type its own set of active genes.
- Alternative splicing, mRNA stability, microRNAs, translation control and proteasome degradation refine expression after transcription.
- Development rests on differential gene expression driven by cytoplasmic determinants, induction and master regulators such as MyoD.
- In flies, the Bicoid gradient starts a cascade of gap, pair-rule, segment polarity and Hox genes; Hox genes are shared across animals.
- Stem cells range from totipotent to multipotent; four factors can reprogram adult cells into iPS cells.
- Restriction enzymes, ligase, plasmids, gel electrophoresis, PCR and sequencing let us cut, copy and read DNA.
- CRISPR-Cas9 cuts at a guide RNA matched site next to a PAM; NHEJ knocks genes out and HDR makes precise edits.
- Applications in medicine, forensics (STRs) and agriculture raise questions of safety, privacy, equity and germline editing.
Words worth knowing
| Term | What it means |
|---|---|
| Operon | A cluster of bacterial genes transcribed together from one promoter and controlled by one operator. |
| Operator | A DNA site near the promoter where a repressor binds to block transcription. |
| Repressor | A protein that turns off transcription by binding an operator or silencer. |
| Inducer | A small molecule, such as allolactose, that inactivates a repressor and switches genes on. |
| Corepressor | A small molecule, such as tryptophan, that activates a repressor and switches genes off. |
| CAP | Catabolite activator protein; with cAMP bound it helps RNA polymerase transcribe sugar using operons. |
| Attenuation | Early termination of transcription in a leader sequence, set by how fast a ribosome translates the leader. |
| Histone acetylation | Addition of acetyl groups to histone lysines, which loosens chromatin and favors transcription. |
| DNA methylation | Addition of methyl groups to cytosines, usually at CpG sites, which tends to silence genes. |
| Epigenetics | Heritable changes in gene expression that do not change the DNA sequence. |
| Enhancer | A group of distal control elements that bind activators and can act far from the gene. |
| Activator | A transcription factor that binds a control element and increases transcription. |
| Alternative splicing | Joining different combinations of exons so one gene yields several proteins. |
| MicroRNA | A small noncoding RNA that pairs with target mRNAs to block translation or trigger degradation. |
| Genomic imprinting | Expression of a gene from only one parent's copy, set by marks laid down in egg or sperm. |
| Morphogen | A substance whose concentration gradient tells cells their position. |
| Hox gene | A homeobox gene that specifies the identity of body regions along the head to tail axis. |
| Induced pluripotent stem cell | An adult cell reprogrammed, by adding a few transcription factors, to behave like an embryonic stem cell. |
| Restriction enzyme | A bacterial enzyme that cuts DNA at a specific recognition sequence. |
| cDNA | DNA copied from mRNA by reverse transcriptase; it lacks introns. |
| PCR | Polymerase chain reaction; repeated cycles that amplify a DNA target between two primers. |
| Dideoxynucleotide | A nucleotide lacking a 3' hydroxyl that stops DNA synthesis; used in Sanger sequencing. |
| CRISPR-Cas9 | A guide RNA directed nuclease system used to cut and edit chosen DNA sequences. |
| PAM | Protospacer adjacent motif; a short sequence (NGG for the common Cas9) required next to the target. |
| Short tandem repeat | A short DNA unit repeated a variable number of times; used in DNA profiling. |
Check yourself
Evolution, Natural Selection and Population Genetics
Bacteria that shrug off antibiotics, insects that survive pesticides and viruses that slip past last year's vaccine are all evolution happening in front of us. Evolution is the unifying idea of biology: it explains why living things share a genetic code, why they are so well suited to their environments, and why they are also full of odd compromises. This chapter traces how Darwin arrived at natural selection, lays out the evidence for evolution, and then gives you the tools of population genetics to measure evolutionary change and identify its causes.
By the end of this chapter you can
- Describe the ideas of Linnaeus, Cuvier, Hutton, Lyell, Lamarck and Malthus and explain how they shaped Darwin's thinking.
- State the observations and inferences behind natural selection and explain descent with modification.
- Evaluate evidence for evolution from direct observation, homology, vestigial structures, convergent evolution, the fossil record and biogeography.
- Calculate allele and genotype frequencies with the Hardy-Weinberg equation and list its five conditions.
- Explain how natural selection, genetic drift (including the founder effect and bottleneck effect) and gene flow change allele frequencies.
- Distinguish directional, stabilizing and disruptive selection, and explain sexual selection and balancing selection.
- Define relative fitness and explain why selection acts on individuals but only populations evolve.
- Explain why natural selection cannot produce perfect organisms, using trade-offs, historical constraints and exaptation.
Section 1Darwin and descent with modification
What evolution means
In the broadest sense, evolution is change over time in the heritable characteristics of populations. Darwin called it descent with modification: living species descend from ancestral species that were different from them, and all life is connected by common ancestry, like twigs on a single great tree. Population geneticists use a narrower, measurable definition: evolution is a change in allele frequencies in a population over generations. These definitions describe the same process at different scales. Small allele frequency changes within populations (microevolution) accumulate into the origin of new species and larger groups (macroevolution), the subject of the next chapter.
Evolution is both a pattern and a process. The pattern is what the evidence shows: species have changed and share ancestors. The process is the set of mechanisms that cause those changes, such as natural selection and genetic drift. Scientists are confident about the pattern, and actively research the relative importance of different processes.
Ideas that came before
Darwin did not work in a vacuum. Several earlier thinkers built pieces of the puzzle, often without accepting evolution themselves.
- Carl Linnaeus (1700s) developed binomial nomenclature (two part names such as Homo sapiens) and a nested hierarchy of groups. He saw the pattern as evidence of a divine plan, but Darwin later explained the nested pattern as the natural result of branching descent.
- Georges Cuvier founded paleontology, the study of fossils. He showed that fossils in deeper rock layers differ more from living species and that many species had gone extinct. He opposed evolution and explained the changes by catastrophism, a series of local catastrophes followed by repopulation from elsewhere.
- James Hutton argued that Earth's features formed by slow, continuous processes such as erosion and deposition, an idea called gradualism.
- Charles Lyell extended Hutton's thinking into uniformitarianism: the processes that shape Earth today worked at the same rates in the past. Two conclusions followed that deeply affected Darwin: Earth must be very old, and very slow processes acting over immense time can produce enormous change.
- Jean-Baptiste de Lamarck (1809) proposed the first comprehensive mechanism of evolution. He suggested that body parts used extensively become stronger (use and disuse) and that such acquired changes are passed to offspring (inheritance of acquired characteristics). The giraffe stretching its neck is the standard example. The mechanism is wrong (a bodybuilder's children are not born muscular), but Lamarck deserves credit for proposing that species change, that life is well fitted to its environment because of that change, and that the cause is natural.
- Thomas Malthus, an economist, argued that human populations tend to grow faster than their food supply, so much suffering results from the struggle for limited resources. Darwin realized the same logic applies to every species.
| Thinker | Key idea | What Darwin took from it |
|---|---|---|
| Linnaeus | Binomial names; nested classification | Nested groups reflect branching common descent |
| Cuvier | Fossils differ by layer; extinction happens | Species are not fixed; life has a long, changing history |
| Hutton | Gradualism in geology | Large changes can come from slow processes |
| Lyell | Uniformitarianism; very old Earth | There has been enough time for gradual evolution |
| Lamarck | Use and disuse; inheritance of acquired traits | Species change and fit their environments (mechanism rejected) |
| Malthus | Populations outgrow resources | A struggle for existence in every generation |
The voyage and the Galápagos
From 1831 to 1836 Charles Darwin sailed around the world as a naturalist aboard HMS Beagle, which was mapping the coast of South America. He collected thousands of specimens and noticed that species in South America resembled one another more than they resembled species in similar climates in Europe. Temperate South American plants and animals were more like tropical South American species than like temperate European ones. On the young volcanic Galápagos Islands, about 900 kilometers west of Ecuador, he found species found nowhere else that nevertheless resembled species on the mainland. Mockingbirds differed from island to island, and the local governor said he could tell which island a tortoise came from by its shell. The islands' finches, later studied in detail, varied in beak shape according to diet: thick crushing beaks for seeds, slender probing beaks for insects, and even a species that uses cactus spines as tools.
Darwin reasoned that a few colonists from the mainland had reached the islands, and their descendants had changed over generations as they adapted to different conditions on different islands. Back in England, he spent more than twenty years gathering evidence, breeding pigeons, corresponding with naturalists and refining his argument. In 1858 he received a manuscript from Alfred Russel Wallace, a naturalist working in Southeast Asia who had independently arrived at the same mechanism. Their ideas were presented together that year, and in 1859 Darwin published On the Origin of Species by Means of Natural Selection.
Natural selection: observations and inferences
Darwin's argument can be laid out as a short chain of observations and the conclusions they force.
- Observation 1. Members of a population vary in their traits.
- Observation 2. Many traits are inherited from parents by offspring.
- Observation 3. Every species can produce more offspring than the environment can support.
- Observation 4. Owing to limited resources, many offspring do not survive or reproduce.
- Inference 1. Individuals whose inherited traits give them a higher probability of surviving and reproducing in a given environment tend to leave more offspring than other individuals.
- Inference 2. This unequal ability to survive and reproduce leads to the accumulation of favorable traits in the population over generations.
This is natural selection: the differential survival and reproduction of individuals because of differences in heritable traits. Over long periods, natural selection produces adaptations, inherited characteristics that enhance survival and reproduction in a particular environment. Darwin added that the process, acting over vast spans of time, could account for the diversity of life, because populations in different environments would accumulate different adaptations and eventually become different species.
Artificial selection as a model
Darwin opened On the Origin of Species with domesticated animals and plants because breeders had already shown what selection could do. By choosing which individuals breed, humans have produced the enormous variety of dog breeds from wolves and, from a single wild mustard species (Brassica oleracea), cabbage (selected for terminal buds), kale (leaves), broccoli (flower clusters and stems), cauliflower (flower clusters), kohlrabi (stems) and Brussels sprouts (lateral buds). If humans can change a species this much in a few thousand years, Darwin argued, nature selecting over millions of years could do far more. In artificial selection humans set the criterion; in natural selection the environment does.
Clearing up common misunderstandings
Three points about natural selection are easy to state and easy to forget:
- Individuals do not evolve; populations do. Selection acts on individuals, because each one survives and reproduces or does not, but the evolutionary result is a change in the makeup of the population over generations. A single giraffe's neck never lengthens because of selection.
- Only heritable traits matter. A muscle built in the gym, or a scar, is not passed on, so it cannot be selected in the evolutionary sense.
- Selection is local and has no goal. A trait favored in one place or time may be useless or harmful in another. Natural selection does not plan ahead and does not aim at "higher" or more complex organisms; it favors whatever variants happen to reproduce best in current conditions.
Building on geology's deep time, Cuvier's fossils and extinction, Malthus's struggle for existence and breeders' experience, Darwin (and independently Wallace) proposed that heritable variation plus unequal survival and reproduction produce adaptation and, over long periods, new species. Evolution is descent with modification, measured in populations as changes in allele frequencies; individuals are selected, but populations evolve.
Section 2Evidence for evolution
Darwin's case rested on many independent lines of evidence, and every one has grown stronger since. The power of the argument lies in agreement: anatomy, embryos, molecules, fossils, geography and direct observation all point to the same branching history.
Direct observation of evolutionary change
Evolution is often fast enough to watch. Soapberry bugs in Florida feed by piercing the fruit of plants with their beaks to reach the seeds. Their native host has large fruit, but in the last century they colonized an introduced plant with much smaller fruit. Within a few decades, bugs living on the introduced plant had evolved significantly shorter beaks, while bugs on the native plant kept long ones. Bugs from the two populations raised on the same food kept their beak differences, showing the change was genetic.
On the Galápagos island of Daphne Major, a severe drought in 1977 left mostly large, hard seeds. Medium ground finches with deeper beaks cracked them more easily and survived at higher rates, and the next generation had measurably deeper beaks on average. When wet years later favored small seeds, the trend partly reversed. Selection was measured directly in the wild, and its direction changed with the environment.
The most consequential example is drug resistance. Staphylococcus aureus resistant to methicillin (MRSA) appeared within a few years of the drug's introduction in 1959. Resistance arises when a bacterium acquires a gene (in this case one encoding an altered penicillin binding protein that the drug cannot inactivate). Exposure to the antibiotic does not create the resistance; it kills susceptible cells and leaves resistant ones to multiply. The same process drives resistance in HIV, malaria parasites, cancer cells under chemotherapy, insects exposed to pesticides and weeds exposed to herbicides.
Homology
Homology is similarity resulting from common ancestry. Homologous structures may now serve very different functions, but they share an underlying plan because they were inherited from a common ancestor.
- Anatomical homology. The forelimbs of humans, cats, whales and bats are used for grasping, walking, swimming and flying, yet all contain the same sequence of bones: one upper bone (humerus), two lower bones (radius and ulna), a cluster of wrist bones (carpals), and hand bones (metacarpals and phalanges). An engineer designing each limb from scratch would never choose the same parts list for a wing and a flipper. The shared pattern makes sense only as modification of an ancestral tetrapod limb.
- Embryological homology. At comparable stages, vertebrate embryos all have a post-anal tail and pharyngeal arches (with pouches between them). In fishes the arches become gill supports; in humans they become parts of the ear, jaw and throat. Shared embryonic structures reveal shared ancestry even when adults differ greatly.
- Molecular homology. All living things use DNA and essentially the same genetic code, the same 20 amino acids and the same basic machinery of transcription and translation. Proteins such as cytochrome c, found in organisms from yeast to humans, differ in amino acid sequence in proportion to how long ago the lineages split. Humans and chimpanzees have identical cytochrome c; humans and rhesus monkeys differ at one position; humans and yeast at roughly 40 percent of positions.
Vestigial structures and molecular leftovers
Vestigial structures are remnants of features that served important functions in an organism's ancestors but are reduced or have lost that function. Examples include the small pelvic and leg bones embedded in the bodies of whales and some snakes (pythons have tiny external spurs), the human tailbone (coccyx), the muscles that move the ear in humans, and the eyes of blind cave fishes, which form in the embryo and then degenerate. Each makes sense as an inheritance from an ancestor that used the structure.
Genomes contain the molecular equivalent. Pseudogenes are copies of genes that have accumulated disabling mutations. Most mammals make their own vitamin C, but humans and other primates carry a broken copy of the final enzyme gene in the pathway (GULO), with the same disabling mutation shared across species. That is why we must get vitamin C from food. The shared defect is hard to explain except by inheritance from a common ancestor in which it first arose.
Convergent evolution and analogy
Not every similarity reflects common ancestry. Convergent evolution is the independent evolution of similar features in different lineages that face similar environmental challenges. The resulting similar features are called analogous: they share function but not ancestry. The wings of insects, birds and bats are analogous as wings (insect wings are not built from limb bones at all). The streamlined bodies of sharks, dolphins and extinct ichthyosaurs, the eyes of octopuses and vertebrates, and the gliding membranes of Australian sugar gliders (marsupials) and North American flying squirrels (placental mammals) are other examples. Convergence is itself evidence of natural selection, because similar environments repeatedly favor similar solutions.
| Feature | Homologous | Analogous |
|---|---|---|
| Cause of similarity | Shared ancestry | Similar selection pressures (convergence) |
| Underlying structure | Same parts and development, functions may differ | Different parts and development, function similar |
| Example | Human arm and bat wing (as forelimbs) | Bat wing and insect wing |
| Use in building trees | Informative about relationships | Misleading if mistaken for homology |
The fossil record
Fossils are preserved remains or traces of past organisms, usually found in sedimentary rock laid down in layers (strata), with younger layers on top of older ones. Their absolute ages are measured by radiometric dating of volcanic layers above and below, using the steady decay of radioactive isotopes with known half-lives. The fossil record shows that past organisms differed from present ones, that many species have gone extinct, and that groups appear in a consistent order: prokaryotes long before eukaryotes, fishes before amphibians, reptiles before mammals and birds.
Fossils also document transitional forms that link groups. Tiktaalik, about 375 million years old, had fish features (scales, fins, gills) together with tetrapod features (a flexible neck, sturdy fin bones homologous to the arm bones, and lungs). A series of fossils from about 50 to 40 million years ago traces whales from four legged land mammals: Pakicetus had legs but an ear region like a whale's, Ambulocetus was amphibious, Rodhocetus had shortened hind limbs, and Dorudon was fully aquatic with tiny vestigial hind limbs. Molecular data independently place whales within the even-toed hoofed mammals, closest to hippopotamuses, and the ankle bones of early fossil whales share a distinctive shape with that group. Archaeopteryx and many feathered dinosaurs similarly link birds to theropod dinosaurs.
Biogeography
Biogeography, the geographic distribution of species, reflects both evolution and the movement of continents. About 250 million years ago the continents were joined in the supercontinent Pangaea; as it broke apart, lineages on separate landmasses evolved independently. Australia's rich diversity of marsupials, which fill niches occupied elsewhere by placental mammals, reflects its long isolation. Islands are especially telling. They often have many endemic species (found nowhere else) that are closely related to species on the nearest mainland or neighboring island, rather than to species living in similar habitats far away. Oceanic islands also tend to lack groups that disperse poorly over sea, such as amphibians and land mammals, while having many birds, insects and plants that cross water easily. These patterns are expected if species arise from colonists and diverge in place; they are puzzling otherwise.
Evolution is supported by direct observation (finch beaks, soapberry bugs, drug resistance), by homology at the anatomical, embryological and molecular levels, by vestigial structures and pseudogenes, by convergent evolution, by an ordered fossil record rich in transitional forms, and by the distribution of species on continents and islands. Homology reveals shared ancestry; analogy reveals similar selection.
Section 3Hardy-Weinberg equilibrium and its assumptions
Populations, gene pools and allele frequencies
A population is a group of individuals of the same species that live in the same area and interbreed, producing fertile offspring. All copies of every allele at every locus in all members of the population make up its gene pool. For a gene with two alleles, A and a, we describe the gene pool by the allele frequencies: by convention p is the frequency of one allele (often the dominant one) and q the frequency of the other. Because these are the only two alleles, p + q = 1. If only one allele exists at a locus in a population, that allele is said to be fixed (its frequency is 1).
Calculating allele frequencies from genotype counts is straightforward because each diploid individual carries two copies of the gene. Consider a population of 500 wildflowers in which flower color shows incomplete dominance: 320 plants are red (CRCR), 160 are pink (CRCW) and 20 are white (CWCW). The population holds 1,000 copies of the gene. Red plants contribute 640 copies of CR and pink plants 160 more, for 800, so p = 800 / 1,000 = 0.8. White plants contribute 40 copies of CW and pink plants 160, for 200, so q = 0.2. Check: p + q = 1.
The Hardy-Weinberg principle
In 1908 the mathematician G. H. Hardy and the physician Wilhelm Weinberg independently showed that Mendelian inheritance by itself does not change allele frequencies. The Hardy-Weinberg principle states that the frequencies of alleles and genotypes in a population will remain constant from generation to generation unless something acts to change them. Such a population is in Hardy-Weinberg equilibrium. Dominant alleles do not automatically become more common, and recessive alleles do not disappear just because they are recessive.
The reasoning treats reproduction as drawing gametes at random from the gene pool. If the frequency of allele A is p, then the chance that a random sperm carries A is p, and the chance that a random egg carries A is also p. The chance that both carry A is p × p = p2. Likewise, the chance of aa is q2. Heterozygotes can form two ways (A sperm with a egg, or a sperm with A egg), so their frequency is 2pq. Since these three genotypes are the only possibilities:
p2 + 2pq + q2 = 1
where p2 is the frequency of AA, 2pq the frequency of Aa and q2 the frequency of aa. In the wildflower example, the expected frequencies are 0.82 = 0.64 red, 2(0.8)(0.2) = 0.32 pink and 0.22 = 0.04 white. Multiplying by 500 gives 320, 160 and 20, exactly what was observed, so this population appears to be in equilibrium for this gene. A key consequence: under random mating, genotype frequencies reach Hardy-Weinberg proportions after a single generation, and the allele frequencies in the next generation equal those in the parents.
The five conditions
Hardy-Weinberg equilibrium holds only if five conditions are met. Each one, when violated, corresponds to a way a population can evolve.
| Condition | What it means | If violated |
|---|---|---|
| No mutations | Alleles are not created, lost or changed | Mutation adds new alleles and slowly changes frequencies |
| Random mating | Individuals pair without regard to genotype | Inbreeding or assortative mating changes genotype frequencies (more homozygotes) without directly changing allele frequencies |
| No natural selection | All genotypes survive and reproduce equally | Alleles in favored genotypes increase |
| Extremely large population | Chance events do not shift frequencies | Genetic drift changes frequencies at random |
| No gene flow | No migration of alleles in or out | Gene flow moves frequencies toward those of the source population |
Real populations rarely meet all five conditions perfectly, yet many loci are close to equilibrium, because the forces acting on them are weak. The value of the principle is that it provides a null model: a precise prediction of what would happen if evolution were not occurring at a locus. When observed genotype frequencies differ significantly from p2, 2pq and q2 (tested statistically, often with a chi-square test), something is acting on that locus, and the pattern of the deviation hints at what. A shortage of heterozygotes, for example, suggests inbreeding or a hidden subdivision of the population.
Using the equation in human genetics
The equation is often used to estimate how many people carry a recessive allele, because carriers cannot be counted by appearance. Suppose that about 1 in 2,500 babies of northern European ancestry is born with cystic fibrosis, an autosomal recessive disorder. Assuming equilibrium:
- Affected individuals are aa, so q2 = 1 / 2,500 = 0.0004.
- q = √0.0004 = 0.02.
- p = 1 − 0.02 = 0.98.
- Carriers are Aa: 2pq = 2(0.98)(0.02) ≈ 0.039, or about 1 in 25 people.
The striking result is that carriers outnumber affected people about a hundredfold. Most copies of a rare recessive allele are hidden in heterozygotes, where selection cannot "see" them, which is one reason harmful recessive alleles persist. The same calculation for phenylketonuria (about 1 in 10,000 births) gives q = 0.01 and a carrier frequency of about 1 in 50. Such estimates guide genetic counseling and the design of carrier screening programs.
With two alleles, p + q = 1 and, under random mating, genotype frequencies are p2, 2pq and q2. Allele and genotype frequencies stay constant if there is no mutation, random mating, no selection, a very large population and no gene flow. The equation serves as a null model for detecting evolution and as a tool for estimating carrier frequencies from the frequency of recessive phenotypes.
Section 4Natural selection, genetic drift and gene flow
Where variation comes from
Evolution needs heritable variation, and individuals in nearly every population differ genetically. Ultimately, new alleles arise by mutation, changes in DNA sequence caused by replication errors, radiation or chemicals. Most mutations that change a protein are harmful or neutral; a few are beneficial in a particular environment. Mutation also creates new genes, when gene duplication leaves an extra copy free to acquire a new function (the many olfactory receptor genes of mammals arose this way). Because the mutation rate per gene per generation is low in animals and plants, mutation alone changes allele frequencies very slowly. Prokaryotes and viruses, with huge populations and short generation times, generate new variants rapidly.
In sexually reproducing organisms, most of the variation seen in any one generation comes not from new mutation but from sexual reproduction reshuffling existing alleles: crossing over, independent assortment of chromosomes and random fertilization produce new combinations every generation. Diploidy also hides recessive alleles from selection in heterozygotes, preserving variation that may later prove useful.
Three main mechanisms of allele frequency change
Of the five ways a population can depart from Hardy-Weinberg equilibrium, three most directly change allele frequencies: natural selection, genetic drift and gene flow. Mutation contributes slowly, and nonrandom mating changes genotype frequencies but not allele frequencies on its own.
| Mechanism | What happens | Adaptive? | Effect on variation |
|---|---|---|---|
| Natural selection | Alleles that improve survival and reproduction increase | Yes, consistently | Directional selection reduces it; balancing selection maintains it |
| Genetic drift | Random changes from chance sampling, strongest in small populations | No, random | Reduces variation within populations; can fix harmful alleles |
| Gene flow | Movement of alleles between populations by migration of individuals or gametes | Can be either | Makes populations more alike; adds variation to a receiving population |
| Mutation | New alleles created | No, random | Source of all new variation; slow by itself |
| Nonrandom mating | Inbreeding or choosing similar mates | No | Raises homozygosity, exposing recessive alleles |
Genetic drift
Flip a fair coin 1,000 times and you will get close to 500 heads; flip it 10 times and 7 or 8 heads would not be surprising. The gametes that happen to form the next generation are a sample of the parents' gene pool, and like any sample, small ones deviate more from the source. Genetic drift is the change in allele frequencies from one generation to the next caused by such chance events. Imagine a population of wildflowers in which, purely by chance, a few plants carrying the white allele are trampled before they set seed. The white allele becomes rarer, not because it was worse but because of luck. Two situations make drift especially strong:
- The founder effect occurs when a few individuals become isolated from a larger population and establish a new one. The founders' gene pool may differ from the source by chance. Founder effects explain why some rare inherited disorders are common in isolated communities. An Amish community in Pennsylvania descended from a small group of founders has a high frequency of Ellis-van Creveld syndrome, a form of dwarfism with extra fingers that is rare elsewhere.
- The bottleneck effect occurs when a sudden change in the environment, such as a fire, flood or overhunting, drastically reduces population size. The survivors' gene pool may no longer reflect the original. Even if the population later recovers in number, its genetic variation stays low until mutation slowly restores it. Northern elephant seals were hunted down to perhaps 20 individuals in the 1890s; today there are well over 100,000, yet they show remarkably little genetic variation.
Drift has four key properties. It is significant in small populations. It can change allele frequencies at random, so an allele may increase even if it is slightly harmful. It leads to a loss of genetic variation within populations as alleles are lost or fixed. And it can fix harmful alleles. The greater prairie chicken of Illinois illustrates the danger. As prairie was converted to farmland, the population fell from millions to fewer than 50 birds in the 1990s, and fewer than half of their eggs hatched. When biologists brought in birds from larger populations in other states, adding new alleles by gene flow, egg hatching rates rose above 90 percent.
Gene flow
Gene flow is the transfer of alleles into or out of a population by the movement of fertile individuals or their gametes, such as pollen carried by wind or insects. It tends to reduce genetic differences between populations; if extensive enough, it can merge neighboring populations into one with a common gene pool. Gene flow can work against local adaptation: on islands where a bird population is adapted to local conditions, steady arrival of birds from a different environment can bring in alleles poorly suited to the island. It can also spread beneficial alleles, such as insecticide resistance alleles that have moved among mosquito populations. Human gene flow has increased greatly with modern travel and migration.
Relative fitness
Phrases such as "survival of the fittest" are misleading if taken to mean strength or aggression. In evolutionary terms, fitness is reproductive success. Relative fitness is the contribution an individual makes to the gene pool of the next generation relative to the contributions of other individuals. A tough, long lived animal that leaves no offspring has a relative fitness of zero. Selection acts on whole organisms, so the relative fitness of an allele depends on the whole genetic and environmental context in which it is expressed.
Modes of selection
Natural selection can change the distribution of a heritable trait that varies continuously, such as size or beak depth, in three ways, depending on which phenotypes have the highest fitness.
- Directional selection favors individuals at one end of the range of phenotypes, shifting the population's frequency curve in that direction. It is common when the environment changes or a population moves to a new habitat: deeper finch beaks after drought, and larger black bears in cold glacial periods.
- Stabilizing selection favors intermediate variants and acts against both extremes, reducing variation and keeping the population stable for that trait. Human birth weight is a classic example: babies much lighter or much heavier than average historically had higher mortality.
- Disruptive selection favors individuals at both extremes over intermediates. In a population of black-bellied seedcracker finches in Cameroon, birds with small bills eat soft seeds efficiently and birds with large bills crack hard seeds, while birds with intermediate bills handle both poorly. Disruptive selection can be a step toward the formation of two species.
Sexual selection
Sexual selection is natural selection for mating success. It can produce sexual dimorphism, marked differences between the sexes in secondary sexual characteristics such as size, color, ornamentation and behavior. In intrasexual selection ("within the same sex"), individuals of one sex compete directly for mates, as when male elk clash antlers or male elephant seals fight for control of a beach. In intersexual selection ("between the sexes"), also called mate choice, individuals of one sex (usually females) are choosy in selecting mates. Showy traits such as the peacock's tail may increase predation risk but persist because they raise mating success. The good genes hypothesis proposes that ornaments signal overall genetic quality. Supporting this idea, female gray tree frogs prefer males with longer calls, and offspring sired by long calling males grew faster and survived better than offspring of short calling males in experiments.
Balancing selection
Why does so much genetic variation persist if selection tends to favor the best allele? Neutral variation (differences that do not affect fitness, such as many changes in noncoding DNA) drifts freely. In addition, balancing selection actively maintains two or more forms in a population. Two main mechanisms are recognized:
- Heterozygote advantage: heterozygotes have higher fitness than either homozygote. The best known case is the sickle cell allele (HbS). Homozygotes have sickle cell disease, but heterozygotes are protected against the most severe form of malaria, because infected red cells sickle and are removed. Where malaria is common, selection favors heterozygotes and keeps the HbS allele at a frequency far higher than its harm in homozygotes alone would allow; in parts of Africa about one in five people are carriers.
- Frequency-dependent selection: the fitness of a phenotype depends on how common it is. In a scale eating cichlid fish of Lake Tanganyika, individuals have mouths twisted either to the left or the right and attack prey fish from one side. Prey learn to guard against the more common attack, so whichever mouth type is rarer has the advantage; over years the frequencies of the two types oscillate around one half.
Mutation and sexual recombination supply variation. Natural selection changes allele frequencies consistently in an adaptive direction, through directional, stabilizing or disruptive patterns, and through sexual selection for mating success; balancing selection maintains variation. Genetic drift changes frequencies by chance, most strongly after founder events and bottlenecks, and erodes variation. Gene flow makes populations more alike. Fitness means relative reproductive success.
Section 5Adaptation and the limits of selection
What counts as an adaptation
An adaptation is a heritable trait that increased in frequency because it improved survival or reproduction in a particular environment. The camouflage of a stick insect, the water conserving kidneys of a desert kangaroo rat, the antifreeze proteins in the blood of Antarctic fishes and the echolocation of bats are all adaptations. Not every feature of an organism is an adaptation, however. A trait may be a side effect of something else that was selected, a leftover from ancestors, or the result of drift. Biologists test adaptive hypotheses the way they test any hypothesis: by predicting what should be true if the trait was favored by selection, then checking with comparisons among species, measurements of fitness in the wild or experiments.
A classic field study shows how. Guppies in Trinidad streams live either with dangerous predators or with only weak ones. Males in high predation streams are drab; males in low predation streams are colorful, because females prefer bright males. When researchers moved guppies from a high predation site to a stream with only weak predators, the males in the transplanted population became measurably more colorful within about 15 generations, as predicted.
Exaptation: new uses for old structures
Selection cannot plan ahead, so complex structures do not evolve "in order to" serve a future role. Instead, structures that evolved in one context are often co-opted for another. Such a feature is called an exaptation. Feathers first appeared in dinosaurs that could not fly; they probably served for insulation or display and were later co-opted for flight. The small bones of the mammalian middle ear evolved from bones that formed part of the jaw joint in ancestral synapsids. Exaptation explains how a structure that seems useless in an early, partial form can still have been favored: it was useful for something else.
| Term | Meaning | Example |
|---|---|---|
| Adaptation | Trait favored by selection for its current role | Antifreeze proteins in Antarctic fishes |
| Exaptation | Trait that evolved in one context and was co-opted for another | Feathers, first for insulation or display, later for flight |
| Vestigial trait | Remnant of a trait that was functional in ancestors | Pelvic bones in whales |
| Byproduct | Side effect of selection on something else, not selected itself | Red color of blood (a consequence of the iron in hemoglobin) |
| Trade-off | Improvement in one function costs another | Large egg size versus number of eggs |
Why natural selection cannot fashion perfect organisms
Organisms are well suited to their environments, but they are not perfectly designed. Four constraints explain why.
- Selection can act only on existing variation. Natural selection favors the best of the phenotypes actually present in a population, which may not be the best imaginable. New advantageous alleles do not arise on demand. A population of bacteria exposed to a new drug survives only if some resistant variant already exists or arises in time.
- Evolution is limited by historical constraints. Each species has a legacy of descent with modification from ancestral forms. Evolution modifies existing structures and adapts them to new situations rather than scrapping them and building from scratch. Birds did not grow a new pair of limbs for wings; their forelimbs were modified, which costs them the use of those limbs as hands. The human back and knee, inherited from four legged ancestors and modified for upright walking, are prone to injury for the same reason.
- Adaptations are often compromises. Each organism must do many different things. A seal spends part of its time on rocks; it would probably walk better with legs, but its flippers serve swimming. Human limbs are flexible and allow versatile movement, but at the cost of dislocations, torn ligaments and sprains. Larger body size can bring dominance but also higher energy needs. Bacteria carrying resistance genes often grow more slowly than susceptible strains when no drug is present, a fitness cost that helps explain why resistance sometimes declines after antibiotic use is reduced.
- Chance, natural selection and the environment interact. Chance events such as storms or founder events affect which alleles survive, regardless of their adaptive value, and the environment can change faster than a population adapts. A trait shaped by past conditions may become a poor fit; the human taste for sugar and fat was useful when such foods were scarce but contributes to obesity and diabetes in an environment where they are abundant, a situation called evolutionary mismatch.
A case study in historical constraint: the recurrent laryngeal nerve
In fishes, branches of the vagus nerve run to the gills, passing behind the blood vessels of the gill arches, and the heart sits just behind the head. As tetrapods evolved, the gill arch arteries were remodeled: one of them became part of the aortic arch, and the heart moved down into the chest as the neck lengthened. The nerve branch to the larynx, which develops from the old gill region, was still hooked behind that artery. It now runs from the brain down the neck into the chest, loops under the aortic arch on the left side, and climbs back up to the larynx. In humans the detour adds several centimeters; in a giraffe, it adds several meters. No engineer would design such a route, but it is exactly what descent with modification predicts.
Coevolution and arms races
Many of the most impressive adaptations arise because the environment includes other evolving species. When two species exert reciprocal selection on each other, they coevolve. Predators and prey, parasites and hosts, and flowers and their pollinators all show this pattern. Rough skinned newts in parts of western North America carry a potent nerve toxin, and the garter snakes that eat them have evolved resistance through changes in their sodium channels; where newts are most toxic, snakes are most resistant. Pathogens and the human immune system are locked in a similar arms race, which is why influenza vaccines must be updated and why bacteria keep evolving around new antibiotics. Because the "target" keeps moving, selection never reaches a final perfect state.
Putting it together
Evolution is not a ladder of progress toward a goal, and natural selection is not the only cause of evolutionary change. Variation arises by chance through mutation and recombination; which variants spread depends on selection, drift and gene flow acting together in a particular environment at a particular time. The result is organisms that are often exquisitely adapted but always bear the marks of their history and the compromises of their many tasks. The same principles explain the origin of new species, the subject of the next chapter.
Adaptations are heritable traits favored by selection, and claims of adaptation should be tested. Many structures began as exaptations. Selection cannot produce perfection because it works only on available variation, modifies inherited structures rather than designing anew, balances competing demands, and is buffeted by chance and changing environments. Coevolution keeps the target moving.
The chapter in one breath
- Evolution is descent with modification; in populations it is a change in allele frequencies over generations.
- Darwin drew on Lyell's deep time, Cuvier's fossils and extinction, Malthus's struggle for existence and breeders' artificial selection; Lamarck's mechanism of acquired traits was wrong.
- Natural selection follows from heritable variation, overproduction and limited resources; it produces adaptations, and individuals are selected while populations evolve.
- Evidence includes direct observation (finch beaks, soapberry bugs, MRSA), homology, vestigial structures, pseudogenes, the fossil record with transitional forms and biogeography.
- Homologous traits share ancestry; analogous traits arise by convergent evolution.
- The Hardy-Weinberg equations, p + q = 1 and p2 + 2pq + q2 = 1, predict stable frequencies if there is no mutation, random mating, no selection, a large population and no gene flow.
- Starting from q2 lets you estimate carrier frequency; for cystic fibrosis about 1 in 25.
- Genetic drift is chance change, strongest in small populations and after founder and bottleneck events; it erodes variation.
- Gene flow makes populations more alike; relative fitness means reproductive success.
- Selection can be directional, stabilizing or disruptive; sexual selection and balancing selection (heterozygote advantage, frequency dependence) add to the picture.
- Selection cannot make perfect organisms: it uses existing variation, works within historical constraints, balances trade-offs and contends with chance and changing environments.
Words worth knowing
| Term | What it means |
|---|---|
| Evolution | Descent with modification; change in the heritable traits, or allele frequencies, of populations over generations. |
| Natural selection | Unequal survival and reproduction of individuals due to differences in heritable traits. |
| Adaptation | A heritable trait that improves survival or reproduction in a particular environment. |
| Artificial selection | Selective breeding by humans for desired traits. |
| Uniformitarianism | The idea that geological processes act at the same rates now as in the past. |
| Inheritance of acquired characteristics | Lamarck's mistaken idea that traits gained during life are passed to offspring. |
| Homology | Similarity resulting from common ancestry. |
| Analogous structures | Features similar in function but not inherited from a common ancestor that had them. |
| Convergent evolution | Independent evolution of similar traits in different lineages facing similar conditions. |
| Vestigial structure | A reduced remnant of a structure that was functional in ancestors. |
| Pseudogene | A gene copy disabled by mutations, often shared among related species. |
| Transitional fossil | A fossil showing a mix of features of an ancestral and a descendant group. |
| Biogeography | The study of the geographic distribution of species. |
| Endemic | Found naturally in only one place. |
| Gene pool | All copies of every allele at every locus in a population. |
| Fixed allele | The only allele present at a locus in a population. |
| Hardy-Weinberg equilibrium | The state of a population in which allele and genotype frequencies stay constant across generations. |
| Microevolution | Change in allele frequencies within a population. |
| Genetic drift | Random change in allele frequencies caused by chance events. |
| Founder effect | Drift that occurs when a few individuals start a new population. |
| Bottleneck effect | Drift that occurs when a population is drastically reduced in size. |
| Gene flow | Movement of alleles between populations through migration of individuals or gametes. |
| Relative fitness | An individual's contribution to the next generation's gene pool compared with others. |
| Directional selection | Selection favoring one extreme phenotype, shifting the mean. |
| Stabilizing selection | Selection favoring intermediate phenotypes and reducing variation. |
| Disruptive selection | Selection favoring both extremes over intermediates. |
| Sexual selection | Selection for traits that increase mating success. |
| Heterozygote advantage | Higher fitness of heterozygotes than of either homozygote, which maintains both alleles. |
| Frequency-dependent selection | Selection in which a phenotype's fitness depends on how common it is. |
| Exaptation | A structure that evolved in one context and was later co-opted for another function. |
Check yourself
Speciation, Phylogeny and the History of Life
Natural selection explains how a population changes, but it does not by itself explain why the living world is divided into millions of distinct kinds of organisms rather than one continuous blur. This chapter follows evolution from the split of one population into two, to the branching trees that record those splits, and finally to the four billion year history in which life arose, transformed the planet and survived five catastrophic extinctions. Understanding these processes lets you read a phylogenetic tree correctly, judge claims about where a new disease or crop came from, and see why biodiversity lost today will not quickly return.
By the end of this chapter you can
- Compare the biological, morphological, ecological and phylogenetic species concepts and state the limits of each.
- Classify prezygotic and postzygotic barriers to reproduction and give an example of each.
- Explain how allopatric speciation and sympatric speciation occur, including the role of polyploidy, habitat differentiation and sexual selection.
- Predict the outcomes of a hybrid zone (reinforcement, fusion and stability) and contrast gradualism with punctuated equilibrium.
- Read a phylogenetic tree, identify clades, sister taxa and shared derived characters, and distinguish monophyletic, paraphyletic and polyphyletic groups.
- Apply parsimony and explain how molecular clocks and horizontal gene transfer shape modern phylogenies.
- Outline the stages proposed for the origin of life, including abiotic synthesis, protocells and the RNA world.
- Use radiometric dating and half-lives to determine the age of rocks and fossils, and explain the biases of the fossil record.
- Sequence the major events of life's history, including the Great Oxidation Event, the Cambrian explosion, the colonization of land and the five mass extinctions, and explain the role of adaptive radiation and continental drift.
Section 1Species concepts and reproductive isolation
Microevolution and macroevolution
The previous chapter treated evolution as change in allele frequencies within a population from one generation to the next. That small scale change is microevolution. Over long spans of time, accumulated microevolution produces macroevolution: the origin of new species, new groups such as flowering plants or mammals, and new structures such as feathers or seeds. The bridge between the two scales is speciation, the process by which one ancestral species gives rise to two or more descendant species. Charles Darwin titled his book On the Origin of Species, yet the question of exactly how one species splits into two was one he could only partly answer. Modern biology answers it by focusing on how gene flow between populations stops.
What is a species?
The word species is Latin for "kind" or "appearance," and for most of history species were defined by how organisms looked. Biologists now recognize several species concepts, each useful for a different purpose. No single definition works for every organism, and that is not a failure of biology; it reflects the fact that speciation is a gradual process, so some populations are caught midway.
The biological species concept, developed by Ernst Mayr, defines a species as a group of populations whose members can interbreed in nature and produce viable, fertile offspring, but cannot do so with members of other such groups. The key idea is reproductive isolation: a species is a gene pool that is sealed off from others. Western meadowlarks and eastern meadowlarks look nearly identical, yet their songs differ and they rarely interbreed where their ranges overlap, so they are separate biological species. Conversely, humans across the world vary greatly in appearance but form a single interbreeding species. This concept has the advantage of focusing on the mechanism that keeps species distinct, namely the absence of gene flow.
The biological species concept has real limits. It cannot be applied to fossils, because we cannot test whether extinct organisms interbred. It does not apply to organisms that reproduce asexually, such as bacteria, many fungi and some lizards and plants, because there is no interbreeding to measure. It is hard to apply to populations that never meet in nature. And gene flow between species that are clearly distinct is more common than once thought: grizzly bears and polar bears, for example, can produce fertile hybrids.
The morphological species concept defines species by body shape and other structural features. It is the oldest approach and the one used in practice for most named species, and it works for fossils and asexual organisms. Its weakness is subjectivity: deciding how much difference counts as a new species is a judgment call, and it can miss cryptic species that look alike but do not interbreed, or lump together very different looking males and females of one species.
The ecological species concept defines a species by its niche, its role in the environment and the set of resources and conditions it uses. Two populations that look similar but occupy different niches are treated as different species. This concept handles asexual organisms well and highlights the role of disruptive selection in creating species.
The phylogenetic species concept defines a species as the smallest group of individuals that share a common ancestor and are distinguished by a unique set of shared traits, forming one tip on the tree of life. With DNA sequencing, this concept has become widely used, especially in microbiology and conservation. Its drawback is that it tends to split groups into many species, since almost any isolated population acquires at least one unique genetic marker.
| Species concept | Defines a species by | Strength | Limitation |
|---|---|---|---|
| Biological | Ability to interbreed and produce fertile offspring in nature | Focuses on gene flow, the mechanism that keeps species apart | Cannot be used for fossils or asexual organisms; hybridization blurs lines |
| Morphological | Body shape and structural features | Usable for fossils, asexual species and field identification | Subjective; misses cryptic species |
| Ecological | Niche, the role and resources a population uses | Works for asexual organisms; links species to selection | Niches overlap and are hard to measure |
| Phylogenetic | Smallest group sharing a unique common ancestry | Applies to any organism with sequence data | Can split lineages into very many species |
Reproductive isolation
Under the biological species concept, the defining feature of a species is that its gene pool is isolated. The biological factors that prevent members of different species from producing viable, fertile offspring are called reproductive barriers or isolating mechanisms. They are classified by when they act relative to the formation of a zygote, the fertilized egg. Prezygotic barriers act before fertilization: they prevent mating or block fertilization if mating is attempted. Postzygotic barriers act after a hybrid zygote has formed: they prevent the hybrid from developing into a viable, fertile adult. Most species pairs are separated by several barriers at once.
Prezygotic barriers
- Habitat isolation. Two species living in the same area occupy different habitats and rarely encounter each other. Two species of garter snake in the same region may live one mainly in water and the other mainly on land.
- Temporal isolation. Species breed at different times of day, different seasons or different years. Eastern and western spotted skunks overlap geographically, but one mates in late summer and the other in late winter. Many plants in one meadow flower in different weeks.
- Behavioral isolation. Courtship rituals, songs, colors and pheromones that attract mates are species specific. Blue footed boobies mate only after a high stepping display that shows off the male's feet; fireflies of different species use distinct flash patterns.
- Mechanical isolation. Mating is attempted but morphological differences prevent it. Snails whose shells spiral in opposite directions cannot align their genital openings. Many flowers are shaped to fit only one kind of pollinator.
- Gametic isolation. Sperm of one species cannot fertilize the eggs of another. This is especially important in organisms with external fertilization, such as sea urchins, which release gametes into the water: species specific bindin proteins on sperm must match receptors on the egg surface.
Postzygotic barriers
- Reduced hybrid viability. Genes of the two parent species interact poorly, so the hybrid fails to develop or is frail. Hybrids between some species of salamander often die before reaching maturity.
- Reduced hybrid fertility. The hybrid is vigorous but sterile. If the parent species have different chromosome numbers or structures, homologous chromosomes cannot pair properly in meiosis, so viable gametes are not produced. The mule (horse, 64 chromosomes; donkey, 62; mule, 63) is the classic case.
- Hybrid breakdown. First generation hybrids are viable and fertile, but when they mate with each other or with a parent species, offspring of the next generation are weak or sterile. Some strains of cultivated rice show this pattern.
| Barrier | Type | What fails | Example |
|---|---|---|---|
| Habitat | Prezygotic | Species do not meet | Aquatic and terrestrial garter snakes |
| Temporal | Prezygotic | Breeding times differ | Spotted skunks mating in different seasons |
| Behavioral | Prezygotic | Courtship signals not recognized | Meadowlark songs, firefly flash codes |
| Mechanical | Prezygotic | Reproductive parts do not fit | Snails with opposite shell coiling |
| Gametic | Prezygotic | Sperm and egg do not fuse | Sea urchin bindin proteins |
| Reduced hybrid viability | Postzygotic | Hybrid dies early or is frail | Salamander hybrids |
| Reduced hybrid fertility | Postzygotic | Hybrid is sterile | Mule from horse and donkey |
Why do prezygotic barriers matter so much? Producing a hybrid that dies or is sterile wastes the parents' energy, gametes and time. If hybrids are less fit, natural selection will favor individuals that avoid mating with the other species in the first place. This is the logic of reinforcement, discussed in the next section. As a rule, prezygotic barriers are more "efficient" because they stop wasted reproductive effort earliest.
A species is most often defined as a group whose members can interbreed in nature to produce fertile offspring, isolated from other such groups. Isolation is maintained by prezygotic barriers (habitat, temporal, behavioral, mechanical, gametic) that prevent fertilization and postzygotic barriers (reduced hybrid viability, reduced hybrid fertility, hybrid breakdown) that make hybrids fail. Other species concepts based on form, niche or ancestry are needed for fossils and asexual organisms.
Section 2Allopatric and sympatric speciation
The central problem: stopping gene flow
Gene flow acts like glue. As long as individuals move between populations and interbreed, alleles are shared and the populations stay similar. For two populations to become separate species, gene flow between them must be reduced enough that mutation, natural selection and genetic drift can push their gene pools in different directions. Once enough differences build up, reproductive barriers arise as a byproduct, and the populations remain distinct even if they later meet. Biologists classify the modes of speciation by how gene flow is interrupted: by geography (allopatric, from Greek words meaning "other country") or within a shared area (sympatric, "same country").
Allopatric speciation
In allopatric speciation, a population is divided into geographically isolated subpopulations. The separation can happen in two broad ways. In vicariance, a barrier arises that splits a continuous population: a mountain range rises, a river changes course, a glacier advances, a land bridge floods or a continent rifts apart. In dispersal, a few individuals colonize a new, distant area, such as an island, and the founding population is isolated from the source. Dispersal often involves a founder effect, so genetic drift can be strong from the very start.
Whether a barrier isolates populations depends on the organism. A highway may block gene flow for small rodents or snails but not for birds or wind dispersed pollen. A canyon a few kilometers wide separates populations of ground squirrels on the north and south rims of the Grand Canyon, yet birds fly across it easily.
Once separated, the isolated populations diverge for several reasons. Their environments differ, so natural selection favors different traits. Different mutations arise in each by chance. Genetic drift, especially in small populations, changes allele frequencies randomly. Sexual selection may favor different mating signals. Over many generations these changes produce reproductive barriers, not because selection "aims" at isolation, but because divergent genomes and behaviors are incompatible as a side effect.
Classic evidence for allopatric speciation includes the snapping shrimp of the genus Alpheus. When the Isthmus of Panama closed about 3 million years ago, it divided populations into Atlantic and Pacific groups. Today there are 15 pairs of sister species, one member on each side of the isthmus, and members of each pair are less likely to mate with each other than with their own side. Pairs from deeper water, which were separated earlier as the isthmus rose, show greater genetic divergence than pairs from shallow water separated last. Similar patterns appear in island groups: the many finch species of the Galápagos and the hundreds of fruit fly species of Hawaii descend from small founding populations that spread from island to island.
Sympatric speciation
In sympatric speciation, a new species arises within the geographic range of its parent population, without physical separation. This is less common than allopatric speciation because gene flow is hard to stop when individuals share an area, but it can happen when something reduces gene flow quickly. Three mechanisms are well documented.
Polyploidy is the presence of more than two complete sets of chromosomes. It can produce a new species in a single generation and is especially common in plants. In autopolyploidy, an individual has more than two chromosome sets all derived from one species. For example, a failure of cell division may turn a diploid cell (2n) into a tetraploid (4n). A tetraploid plant can self fertilize or mate with other tetraploids, but if it mates with a diploid, the triploid offspring (3n) have unpaired chromosomes during meiosis and are sterile. The tetraploids are therefore instantly isolated. In allopolyploidy, two different species interbreed. The hybrid is usually sterile because its two chromosome sets are not homologous and cannot pair in meiosis. But if a later error doubles the hybrid's chromosome number, every chromosome now has a partner, meiosis proceeds and the new allopolyploid is fertile with its own kind yet isolated from both parents. Estimates suggest that a large share of flowering plant species, perhaps 25 to 40 percent or more, arose through polyploidy at some point in their history. Many crops are allopolyploids, including bread wheat (a hexaploid with chromosome sets from three ancestral species), oats, cotton, potatoes, coffee and canola.
Habitat differentiation can also produce sympatric speciation when a subpopulation begins exploiting a resource or habitat not used by the parent population. The North American apple maggot fly, Rhagoletis pomonella, originally laid its eggs on native hawthorn fruits. After apples were introduced roughly two centuries ago, some flies began using apple trees. Because flies tend to mate on the type of fruit they grew up in, and because apples ripen a few weeks earlier than hawthorns, the apple and hawthorn populations have become partly isolated by both habitat and timing. Natural selection has also adjusted the flies' development to each fruit's schedule. These two host races show measurable genetic differences and are considered a case of speciation in progress.
Sexual selection can drive sympatric speciation when females in one population develop preferences for different male traits. In Lake Victoria in East Africa, hundreds of cichlid fish species evolved within a single lake. In clear water, females of two closely related species choose mates by color: one prefers males with blue backs, the other males with red backs. When researchers placed the fish under monochromatic orange light, which hides the color difference, females mated with males of either species and produced viable, fertile hybrids. This shows that mate choice by color was the main barrier. Unfortunately, increasing murkiness of the lake from pollution has weakened this barrier, and some species pairs are merging.
| Feature | Allopatric speciation | Sympatric speciation |
|---|---|---|
| How gene flow stops | Physical geographic barrier (vicariance or dispersal) | Genetic or behavioral change within a shared area |
| Typical speed | Usually many generations | Can be one generation (polyploidy) or many (habitat, sexual selection) |
| Main drivers of divergence | Selection in different environments, drift, mutation | Polyploidy, habitat differentiation, sexual selection |
| How common | Considered the most common mode | Common in plants (polyploidy); less common in animals |
| Classic examples | Snapping shrimp across Panama; island finches | Bread wheat; apple maggot fly; Lake Victoria cichlids |
Biologists also describe parapatric speciation, an intermediate case in which populations occupy adjacent areas with a narrow zone of contact. Gene flow continues at the boundary, but strong selection on each side, for example on grasses growing over toxic mine tailings next to normal soil, can still drive divergence.
Hybrid zones
When populations that have partly diverged come back into contact, they may interbreed in a hybrid zone, a region where members of different species meet, mate and produce at least some offspring of mixed ancestry. Hybrid zones are natural laboratories for watching speciation. Fire bellied and yellow bellied toads in Europe, for example, meet along a narrow band stretching hundreds of kilometers; hybrids there have more skeletal abnormalities and lower survival, so alleles from one species rarely penetrate far into the range of the other.
Over time, a hybrid zone can follow one of three paths:
- Reinforcement. If hybrids are less fit than either parent, natural selection strengthens prezygotic barriers, reducing hybrid formation. The species become more distinct where they overlap. Evidence comes from pied and collared flycatchers in Europe: males of the two species look most different in areas where both species live together and more similar where they live apart, the pattern predicted if selection has reinforced mate recognition.
- Fusion. If hybrids are as fit as the parents and barriers are weak, gene flow can increase until the two gene pools merge into one. The Lake Victoria cichlids in murky water illustrate this collapse.
- Stability. Hybrids continue to be produced at a steady rate. This can happen if hybrids are well suited to the zone's particular environment or if steady gene flow from outside the zone balances selection against hybrids. Many hybrid zones have been stable for thousands of years.
The tempo of speciation
The fossil record shows two broad patterns. In many lineages, a species appears suddenly in the rock layers, persists essentially unchanged for millions of years and then disappears. Paleontologists Niles Eldredge and Stephen Jay Gould called this pattern punctuated equilibrium: long periods of stasis punctuated by relatively brief periods of change. Other lineages show gradualism, in which change accumulates steadily and new species emerge slowly. "Brief" in geologic terms can still mean tens of thousands of years, short compared with a species lifetime of several million years but long enough for ordinary natural selection to produce a new form. Studies of speciation intervals in living groups show a wide range: some species pairs separated in a few thousand years (such as cichlids in young lakes), while others took millions of years. On average, the time from initial divergence to complete reproductive isolation is often estimated at around a few million years.
Speciation requires that gene flow be reduced. In allopatric speciation, geography separates populations, which then diverge by selection, drift and mutation until barriers form. In sympatric speciation, gene flow is reduced within one area by polyploidy (common in plants and capable of making a species in one generation), habitat differentiation or sexual selection. When diverged populations meet in a hybrid zone, reinforcement, fusion or stability may follow, and speciation itself can occur rapidly or gradually.
Section 3Phylogenetic trees and cladistics
Phylogeny and classification
A phylogeny is the evolutionary history of a species or group of species. Because every living species descends from earlier species, the history of life can be represented as a branching tree. Reconstructing that tree is the work of systematics, the discipline that classifies organisms and determines their evolutionary relationships using evidence from fossils, anatomy, development and, increasingly, DNA and protein sequences.
Formal naming follows the system introduced by Carolus Linnaeus in the 1700s. Each species receives a two part binomial: the genus name, capitalized, followed by the specific epithet, both italicized. Humans are Homo sapiens. Species are grouped into a nested hierarchy of increasingly inclusive categories: domain, kingdom, phylum, class, order, family, genus, species. Each named unit at any level is a taxon (plural taxa). For the domestic cat, the sequence runs Eukarya, Animalia, Chordata, Mammalia, Carnivora, Felidae, Felis, Felis catus. The ranks above species are human conventions: a genus of beetles is not equivalent in age or diversity to a genus of mammals. For this reason many biologists now prefer to name clades defined by ancestry rather than to assign ranks.
Reading a phylogenetic tree
A phylogenetic tree is a diagram of hypothesized relationships. Learning its parts prevents most errors in interpretation:
- The root represents the most recent ancestor shared by all taxa on the tree.
- Each branch point, or node, represents the divergence of two or more lineages from a common ancestor.
- The tips represent the taxa being compared, usually living species or groups.
- Sister taxa are groups that share an immediate common ancestor not shared by any other group; they are each other's closest relatives on the tree.
- A basal taxon diverges early in the history of the group and lies on a branch that originates near the root.
- A polytomy is a node from which more than two lineages emerge, signaling that the order of divergence is not yet resolved.
Three rules of interpretation are worth memorizing. First, trees show patterns of descent, not overall similarity: two species can look alike yet be distantly related. Second, unless branch lengths are scaled, the length of a branch says nothing about time or the amount of change. Third, no living taxon is the ancestor of another living taxon. Humans did not evolve from chimpanzees; both descend from a common ancestor that lived roughly 6 to 7 million years ago. The order of tips along the top of a tree is also meaningless: branches can rotate around any node without changing the relationships shown, just as a hanging mobile can spin.
Homology and analogy
Phylogenies are built from characters, heritable features that vary among taxa, such as the presence of a backbone or the base at a given position in a gene. Useful characters must be homologous: similar because they were inherited from a common ancestor. The forelimbs of whales, bats and humans contain the same set of bones because they descend from the limb of an ancestral tetrapod. In contrast, analogous structures are similar because of convergent evolution, in which unrelated lineages face similar selective pressures and evolve similar solutions. Bird wings and insect wings both allow flight but are built from completely different tissues. Similarity due to convergence is called homoplasy, and it can mislead anyone who assumes that resemblance always means relatedness. Generally, the more complex and similar two structures are in detail, the more likely they are to be homologous.
Cladistics
Cladistics is the approach that groups organisms by common descent. Its basic unit is the clade, a group consisting of an ancestral species and all of its descendants. Clades are nested, like boxes within boxes: mammals form a clade within the larger clade of amniotes, which lies within tetrapods, which lies within vertebrates.
Groupings are judged by whether they form a true clade:
- A monophyletic group (a clade) contains an ancestor and all of its descendants. Birds plus all the dinosaurs they descend from form a monophyletic group.
- A paraphyletic group contains an ancestor and some, but not all, of its descendants. The traditional "reptiles," defined to exclude birds, is paraphyletic because birds descend from the same ancestor as crocodiles and lizards.
- A polyphyletic group includes distantly related species but not their most recent common ancestor. Grouping all "warm blooded animals" (birds and mammals) together is polyphyletic, because endothermy evolved independently in the two lineages.
Cladistic analysis distinguishes two kinds of character states. A shared ancestral character originated in an ancestor of the whole group being studied, so it does not help sort members within that group. A backbone is shared ancestral within mammals: every mammal has one, so its presence tells you nothing about which mammals are most closely related. A shared derived character (a synapomorphy) is an evolutionary novelty unique to a particular clade. Hair is a shared derived character of mammals. Whether a character counts as ancestral or derived depends on the level being studied: a backbone is derived when vertebrates are compared with other animals.
To decide which states are ancestral, systematists compare the group of interest, the ingroup, with an outgroup, a species or group known to have diverged before the ingroup lineages. Characters shared by the outgroup and the ingroup are assumed to be ancestral; those found only in some members of the ingroup are derived. In the tree in Figure 9.3, the lancelet serves as the outgroup for the vertebrates.
| Grouping | Contains | Example | Accepted in cladistics? |
|---|---|---|---|
| Monophyletic (clade) | Ancestor and all descendants | Mammals; birds with dinosaurs | Yes |
| Paraphyletic | Ancestor and some descendants | Traditional reptiles that exclude birds | No |
| Polyphyletic | Several lineages without their common ancestor | Warm blooded animals (birds and mammals) | No |
Choosing among trees: parsimony and likelihood
Even for a few species, many possible trees exist; for 50 species there are more trees than atoms in the observable universe. Systematists use principles to pick the best supported tree. Maximum parsimony chooses the tree that requires the fewest evolutionary changes, following the idea (often called Occam's razor) that the simplest explanation consistent with the evidence should be preferred first. For DNA data, the most parsimonious tree requires the fewest base changes. Maximum likelihood and Bayesian methods use explicit models of how DNA changes over time, for example that transitions between purines are more frequent than transversions, and find the tree most likely to have produced the observed data. A tree is a hypothesis that is revised as new data appear.
Molecular data and molecular clocks
DNA comparisons have transformed systematics because they supply thousands of characters for any organism. Genes evolve at different rates. Ribosomal RNA genes change slowly and are used to study divergences hundreds of millions of years old, including the relationships among the three domains. Mitochondrial DNA changes rapidly and is used to compare closely related species and populations.
A molecular clock estimates the time of evolutionary change from the number of differences between homologous sequences. It rests on the observation that some genes accumulate neutral mutations at a fairly constant average rate. The clock is calibrated by plotting the number of differences against divergence times known from well dated fossils. Molecular clocks must be used with care, because rates can differ among genes and lineages, but they have dated events such as the origin of HIV: by comparing samples from patients, researchers estimated that the HIV-1 M strain spread from chimpanzee viruses into humans in the early twentieth century.
The three domains and the tangled tree
Comparisons of ribosomal RNA in the 1970s, pioneered by Carl Woese, revealed that prokaryotes include two profoundly different lineages. Life is now divided into three domains: Bacteria, Archaea and Eukarya. Archaea share some features with eukaryotes (such as histone proteins and similar RNA polymerases) and are generally considered more closely related to Eukarya than to Bacteria; some analyses place eukaryotes within the Archaea. The base of the tree is complicated by horizontal gene transfer, the movement of genes between genomes by plasmids, viruses and even the fusion of organisms. Because genes have moved sideways between lineages throughout the history of life, the early tree looks less like a single trunk and more like a web or tangled ring.
A phylogenetic tree is a hypothesis of descent: nodes are common ancestors, sister taxa share the most recent ancestor, and trees show branching pattern, not ladders of progress. Cladistics groups organisms into monophyletic clades using shared derived characters identified by comparison with an outgroup, while avoiding the homoplasy of analogous traits. Parsimony, likelihood methods and molecular clocks turn sequence data into trees and dates, and horizontal gene transfer makes the base of the tree a web.
Section 4The origin of life and the fossil record
The early Earth
Earth formed about 4.6 billion years ago (more precisely about 4.54 billion) from material orbiting the young sun. For its first several hundred million years it was bombarded by debris, and one giant collision probably produced the Moon. As the planet cooled, water vapor released by volcanoes condensed into oceans. The early atmosphere was thick with water vapor, nitrogen, carbon dioxide and smaller amounts of methane, ammonia, hydrogen and hydrogen sulfide, but it had almost no free oxygen. The oldest direct evidence of life, fossil stromatolites (layered mats built by communities of microbes trapping sediment), dates to about 3.5 billion years ago, and chemical traces in older rocks suggest life may be about 3.7 billion years old or more. Life therefore appeared within a few hundred million years of Earth becoming habitable.
From chemistry to life: four stages
No one can observe the origin of life directly, but biologists have identified a plausible sequence of stages, each of which can be tested in the laboratory:
- Abiotic synthesis of small organic molecules such as amino acids and nitrogenous bases.
- Joining of these monomers into polymers such as proteins and nucleic acids.
- Packaging of molecules into protocells, membrane bounded droplets with an internal chemistry different from their surroundings.
- Origin of self replicating molecules that made inheritance possible.
In the 1920s, A. I. Oparin and J. B. S. Haldane independently proposed that the early atmosphere, lacking oxygen, would allow organic molecules to form and accumulate, since oxygen would otherwise break them down. In 1953, Stanley Miller and Harold Urey tested this idea. They circulated water vapor, hydrogen, methane and ammonia through a sealed apparatus, sending electrical sparks through the gases to mimic lightning. Within a week, the water contained a variety of amino acids and other organic compounds. Although the early atmosphere may have been less reducing than Miller assumed, organic molecules can also form near deep sea hydrothermal vents, particularly alkaline vents where warm, mineral rich water creates natural chemical gradients. Meteorites add further support: some contain amino acids, sugars and nitrogenous bases formed in space, showing that these building blocks arise readily under abiotic conditions.
Monomers can link into polymers without enzymes when dilute solutions drip onto hot sand, clay or rock, which evaporates the water and concentrates the molecules. Clay surfaces bind charged monomers and catalyze their joining; RNA monomers have been shown to form chains of 50 or more nucleotides on clay.
Protocells could form spontaneously because lipids and other amphipathic molecules self assemble into bilayer vesicles in water. In laboratory experiments, montmorillonite clay speeds up vesicle formation and can carry RNA inside. Such vesicles can grow by absorbing more lipid, divide when sheared and maintain an internal environment, showing several properties of life.
The RNA world
Modern cells use DNA to store information and proteins to catalyze reactions, but each depends on the other: DNA cannot be copied without protein enzymes, and proteins cannot be made without information from nucleic acids. Which came first? The discovery of ribozymes, RNA molecules that act as catalysts, suggested an answer. RNA can both store genetic information and catalyze reactions, including, in laboratory evolved ribozymes, the copying of short stretches of RNA. The RNA world hypothesis proposes that early life used RNA for both functions. Natural selection could act on RNA molecules directly: sequences that folded into shapes that copied themselves faster or more accurately would come to dominate. Strong evidence comes from modern cells: the catalytic core of the ribosome, which forms peptide bonds, is made of RNA, a molecular fossil of that earlier world. DNA, more chemically stable, later took over as the main store of information, and proteins, more versatile catalysts, took over most enzymatic work.
The fossil record
A fossil is any preserved remnant or trace of an organism from the past. Most fossils form in sedimentary rock, which builds up as sand and mud settle in layers called strata in seas, lakes, swamps and floodplains. Deeper strata are generally older. Organisms buried quickly in fine sediment may become fossils when minerals gradually replace their hard parts, a process that produces bones and shells of stone. Other fossils are molds and casts, footprints and burrows (trace fossils), thin carbon films of leaves, insects in amber, or, rarely, frozen or dried bodies with soft tissue.
The fossil record is detailed in places but strongly biased. Organisms are more likely to fossilize if they had hard parts, lived in or near water where sediments accumulate, existed for a long time, were abundant and widespread, and died in a place where the rock was later neither destroyed nor deeply buried. Soft bodied organisms, small populations and land animals of eroding uplands are underrepresented. So the absence of a group from the record does not prove it was absent from Earth. Despite these gaps, fossils document many transitions in detail, including the evolution of tetrapods from lobe finned fishes, of whales from land mammals and of mammals from earlier synapsids, in which a series of fossils shows the jaw joint shifting while two of its bones moved into the middle ear.
Dating rocks and fossils
Two complementary approaches give the ages of fossils. Relative dating orders events by their position in the strata: lower layers are older than upper layers, and fossils found in the same layer in different places lived at roughly the same time. Relative dating tells you the sequence of events but not their age in years. Radiometric dating provides absolute ages. It relies on radioactive isotopes, or "parent" isotopes, which decay to "daughter" isotopes at a fixed rate unaffected by temperature or pressure. The rate is expressed as a half-life, the time required for half of the parent isotope in a sample to decay. After one half-life 50 percent remains; after two, 25 percent; after three, 12.5 percent; and so on.
Different isotopes suit different time spans. Carbon-14, with a half-life of 5,730 years, is used to date organic remains up to about 50,000 to 75,000 years old. Living organisms take in carbon from the environment and keep the same ratio of carbon-14 to carbon-12 as the atmosphere; at death, intake stops and the carbon-14 begins to decay. A bone with one quarter of the original carbon-14 ratio is about two half-lives, or 11,460 years, old. For older fossils, geologists date volcanic layers above and below the fossil using isotopes with longer half-lives, such as potassium-40 (half-life about 1.3 billion years, decaying to argon-40) or uranium-238 (about 4.5 billion years, decaying through a series to lead-206). A fossil sandwiched between ash layers dated to 525 and 535 million years is roughly 530 million years old. Sedimentary rock itself is usually not dated directly because its mineral grains come from older rocks.
| Parent isotope | Daughter | Half-life | Typical use |
|---|---|---|---|
| Carbon-14 | Nitrogen-14 | 5,730 years | Organic remains up to about 50,000 to 75,000 years |
| Potassium-40 | Argon-40 (and calcium-40) | About 1.3 billion years | Volcanic layers bracketing older fossils, including early human sites |
| Uranium-235 | Lead-207 | About 704 million years | Ancient igneous rocks and zircon crystals |
| Uranium-238 | Lead-206 | About 4.5 billion years | Oldest rocks; age of Earth and meteorites |
Life arose on an Earth about 4.6 billion years old, with fossil evidence by 3.5 billion years ago. Experiments support a sequence from abiotic synthesis of monomers (Miller and Urey, hydrothermal vents, meteorites), to polymers on hot clay, to self assembling protocells, to RNA molecules that both store information and catalyze reactions. The fossil record, biased toward hard bodied, abundant, aquatic organisms, is ordered by relative dating and given ages by radiometric dating using half-lives.
Section 5Major events and mass extinctions in the history of life
The geologic time scale
Geologists divide Earth's history into a hierarchy of eons, eras and periods, with boundaries usually set by major changes in the fossils found in the rocks. The Hadean (4.6 to 4.0 billion years ago) and Archean (4.0 to 2.5 billion) eons saw the formation of the planet and the first prokaryotes. The Proterozoic (2.5 billion to 541 million years ago) saw oxygen accumulate and eukaryotes arise. The Phanerozoic ("visible life"), the last 541 million years, contains three eras: the Paleozoic ("old life"), Mesozoic ("middle life," the age of reptiles) and Cenozoic ("recent life," the age of mammals).
Milestones of early life
For more than a billion years after the first stromatolites, all life was prokaryotic. The most transformative event of this time was oxygenic photosynthesis by cyanobacteria, which split water and released O2. At first the oxygen reacted with dissolved iron and precipitated as the red banded iron formations found in rocks of this age. Once these sinks were filled, oxygen began to accumulate in the atmosphere during the Great Oxidation Event, about 2.4 billion years ago. Oxygen was toxic to many anaerobic prokaryotes, which went extinct or retreated to anaerobic habitats, but it also made aerobic respiration, which yields far more ATP, possible, and eventually it formed an ozone layer that shielded the land from ultraviolet light.
The oldest widely accepted fossils of eukaryotic cells are about 1.8 billion years old. Eukaryotes arose through endosymbiosis: an archaeal host cell engulfed an aerobic bacterium that became the mitochondrion, and later a lineage engulfed a cyanobacterium that became the chloroplast (Chapter 10). Multicellular eukaryotes, such as small red algae, appear by about 1.2 billion years ago. A series of severe "snowball Earth" glaciations from about 750 to 580 million years ago may have limited the diversity of early multicellular life. Larger, soft bodied animals of the Ediacaran biota appeared about 635 to 541 million years ago.
The Cambrian explosion and the move onto land
The Cambrian explosion, beginning about 535 to 525 million years ago, is the sudden appearance in the fossil record of most of the major animal phyla living today, including the first animals with hard, mineralized skeletons, predators with claws and prey with spines and armor. Molecular clocks suggest that many animal lineages originated somewhat earlier, so the "explosion" partly reflects the evolution of hard parts that fossilize well, along with rising oxygen and predator prey arms races. Life then spread onto land: plants, fungi and arthropods by about 500 to 470 million years ago, forests and the first four limbed vertebrates (tetrapods) by about 365 million years ago.
Continental drift
Earth's crust is broken into tectonic plates that move a few centimeters a year over the hot mantle. About 250 million years ago, near the end of the Paleozoic, plate movements brought nearly all land together into the supercontinent Pangaea. Its formation destroyed much shallow coastal habitat, made the interior dry and changed ocean currents, contributing to extinctions. When Pangaea began to break up about 200 million years ago, populations on separating landmasses evolved in isolation, a giant case of allopatric speciation. This explains many patterns in biogeography: matching fossils of the same freshwater reptile in South America and Africa, and the distinctive marsupials of Australia, which drifted away before placental mammals spread there.
Mass extinctions
Extinction is normal: the vast majority of species that ever lived are now extinct, most during the steady "background" rate of extinction. A mass extinction is different: a large proportion of species, often more than half, disappears within a geologically short interval because of a global environmental change. The fossil record shows five mass extinctions, the "big five." Two are especially well studied:
- The Permian extinction, at the boundary between the Paleozoic and Mesozoic eras about 252 million years ago, was the largest. It killed about 96 percent of marine species and a large fraction of land species, and it occurred in less than about 500,000 years. It coincided with enormous volcanic eruptions in what is now Siberia, which released carbon dioxide, warmed the climate, acidified and deoxygenated the oceans and may have favored bacteria that produced toxic hydrogen sulfide.
- The Cretaceous extinction, about 66 million years ago, eliminated about three quarters of species, including all nonavian dinosaurs. A thin clay layer at the boundary, rich in iridium (an element rare on Earth but common in meteorites), and the buried 180 kilometer Chicxulub crater off the Yucatán Peninsula indicate that an asteroid struck Earth. Dust and soot blocked sunlight, collapsing food webs for months to years.
| Extinction | Approximate age | Proposed main cause | Notable losses or aftermath |
|---|---|---|---|
| End-Ordovician | 444 million years | Glaciation and sea level fall | Many marine invertebrates, trilobites and brachiopods |
| Late Devonian | 372 million years | Ocean anoxia, climate change | Reef builders and armored fishes |
| End-Permian | 252 million years | Siberian volcanism, warming, ocean acidification | About 96% of marine species; trilobites gone; opened the way for reptiles |
| End-Triassic | 201 million years | Volcanism as Pangaea rifted | Many large amphibians and reptiles; dinosaurs then dominated |
| End-Cretaceous | 66 million years | Asteroid impact (Chicxulub), plus volcanism | Nonavian dinosaurs, ammonites; mammals radiated |
Consequences: recovery and adaptive radiation
Mass extinctions change the course of evolution because they remove whole lineages regardless of how well adapted they were to normal conditions. Recovery of diversity typically takes 5 to 10 million years or more. Survivors find empty ecological roles and undergo adaptive radiation, the evolution of many diversely adapted species from a common ancestor. After the Cretaceous extinction, mammals, which had been mostly small and nocturnal for 140 million years, radiated into whales, bats, hoofed animals and primates. Adaptive radiations also follow the evolution of key innovations (such as wings or flowers) and colonization of new areas, such as the Hawaiian silverswords descended from a single California tarweed ancestor.
Life was microbial for most of Earth's history. Cyanobacteria oxygenated the atmosphere about 2.4 billion years ago, eukaryotes arose by endosymbiosis about 1.8 billion years ago, and animal phyla diversified in the Cambrian explosion about 535 million years ago before life moved onto land. Continental drift and five mass extinctions, the worst at the end of the Permian and the best known at the end of the Cretaceous, reshaped life, and survivors diversified through adaptive radiation.
The chapter in one breath
- Speciation links microevolution to macroevolution; it requires that gene flow between populations stop.
- The biological species concept defines species by interbreeding and fertile offspring; morphological, ecological and phylogenetic concepts cover fossils and asexual organisms.
- Prezygotic barriers (habitat, temporal, behavioral, mechanical, gametic) block fertilization; postzygotic barriers (reduced hybrid viability or fertility, hybrid breakdown) make hybrids fail.
- Allopatric speciation follows geographic separation by vicariance or dispersal; it is the most common mode.
- Sympatric speciation occurs without separation through polyploidy, habitat differentiation or sexual selection; allopolyploids can form a species in one generation.
- Hybrid zones may show reinforcement, fusion or stability, and speciation can follow punctuated or gradual tempos.
- Phylogenetic trees show descent from common ancestors at nodes; sister taxa share the most recent ancestor and branch order, not tip order, carries the meaning.
- Clades are monophyletic and are recognized by shared derived characters polarized by an outgroup; paraphyletic and polyphyletic groups are rejected.
- Parsimony, likelihood methods and molecular clocks build and date trees; horizontal gene transfer blurs the base of the three domain tree.
- The origin of life is modeled as abiotic synthesis, polymerization, protocells and an RNA world based on ribozymes.
- Fossils are dated relatively by strata and absolutely by radiometric dating; carbon-14 has a half-life of 5,730 years.
- Key events: first life about 3.5 billion years ago, Great Oxidation Event 2.4 billion, eukaryotes 1.8 billion, Cambrian explosion about 535 million, and five mass extinctions followed by adaptive radiations.
Words worth knowing
| Term | What it means |
|---|---|
| Speciation | The process by which one ancestral species splits into two or more descendant species. |
| Biological species concept | Definition of a species as populations that interbreed in nature and produce viable, fertile offspring, isolated from other such groups. |
| Reproductive isolation | The existence of biological barriers that prevent members of two species from producing viable, fertile offspring. |
| Prezygotic barrier | A barrier that prevents mating or fertilization between species. |
| Postzygotic barrier | A barrier that acts after a hybrid zygote forms, causing hybrids to die, be sterile or fail in later generations. |
| Hybrid breakdown | A postzygotic barrier in which first generation hybrids are fertile but their offspring are weak or sterile. |
| Allopatric speciation | Speciation that follows geographic separation of populations. |
| Sympatric speciation | Speciation within the same geographic area as the parent population. |
| Polyploidy | Having more than two complete sets of chromosomes, a common cause of instant speciation in plants. |
| Allopolyploid | A fertile polyploid formed from the hybrid of two different species after chromosome doubling. |
| Hybrid zone | A region where members of different species meet and produce offspring of mixed ancestry. |
| Reinforcement | Strengthening of prezygotic barriers by natural selection when hybrids are less fit than parents. |
| Punctuated equilibrium | A pattern of long periods of little change interrupted by relatively rapid bursts of change at speciation. |
| Phylogeny | The evolutionary history of a species or group of species. |
| Sister taxa | Groups that share an immediate common ancestor not shared with any other group on the tree. |
| Clade | A monophyletic group: an ancestor and all of its descendants. |
| Shared derived character | An evolutionary novelty unique to a particular clade, used to define it. |
| Outgroup | A lineage known to have diverged before the group being studied, used to tell ancestral from derived traits. |
| Homoplasy | Similarity between lineages caused by convergent evolution rather than common ancestry. |
| Maximum parsimony | The principle of preferring the tree that requires the fewest evolutionary changes. |
| Molecular clock | A method that estimates divergence times from the number of differences in DNA or protein sequences. |
| Horizontal gene transfer | Movement of genes between genomes of different organisms other than by inheritance from a parent. |
| Ribozyme | An RNA molecule that acts as an enzyme. |
| Protocell | A membrane bounded droplet that maintains an internal chemistry, a likely precursor of cells. |
| Half-life | The time required for half of a radioactive parent isotope in a sample to decay. |
| Stromatolite | A layered rock formed by microbial mats trapping sediment; among the oldest fossils. |
| Great Oxidation Event | The accumulation of oxygen in the atmosphere about 2.4 billion years ago, caused by cyanobacterial photosynthesis. |
| Cambrian explosion | The rapid appearance of most major animal phyla in the fossil record about 535 to 525 million years ago. |
| Mass extinction | Loss of a large fraction of species within a geologically short time because of global environmental change. |
| Adaptive radiation | Rapid evolution of many diversely adapted species from a common ancestor, often into vacant niches. |
Check yourself
Bacteria, Archaea, Viruses, Protists and Fungi
Most of the life on Earth is invisible. Bacteria and archaea outnumber every other organism, protists drift through every drop of pond water and ocean, fungi thread through every handful of soil, and viruses, which are not even cells, outnumber them all. This chapter surveys these microscopic and mostly microscopic groups: how they are built, how they reproduce, how they obtain energy and why they matter for nutrient cycles, food, medicine and the infectious diseases that still shape human health.
By the end of this chapter you can
- Describe the structure of a prokaryotic cell and explain how the Gram stain distinguishes bacterial cell walls.
- Explain how prokaryotes reproduce by binary fission and gain genetic variation by transformation, transduction and conjugation.
- Classify organisms by nutritional mode and oxygen requirement, and compare Bacteria with Archaea.
- Describe virus structure and contrast the lytic and lysogenic cycles, the replication of enveloped viruses and retroviruses, and the nature of viroids and prions.
- Explain primary and secondary endosymbiosis and identify the major protist groups and representative organisms.
- Describe fungal structure, absorptive nutrition and the sexual and asexual life cycle, and compare the major fungal groups.
- Explain the roles of microbes as decomposers, nitrogen fixers and partners in mutualisms such as mycorrhizae and lichens.
- Apply Koch's postulates, distinguish exotoxins from endotoxins and explain how antibiotic resistance evolves.
Section 1Prokaryotic structure, diversity and metabolism
Small cells, enormous success
Prokaryotes are single celled organisms without a nucleus or other membrane bounded organelles. They belong to two of the three domains of life, Bacteria and Archaea. Most are 0.5 to 5 micrometers long, roughly a tenth to a hundredth the size of a typical eukaryotic cell. They were the first organisms on Earth and remain the most abundant: a gram of fertile soil can hold billions of cells, and the bacteria living in and on a human body are roughly as numerous as the body's own cells. Their success comes from small size, rapid reproduction, enormous metabolic diversity and the ability to exchange genes.
Prokaryotic cells come in three common shapes: spheres called cocci (singular coccus), rods called bacilli (singular bacillus) and spirals, including rigid spirilla and flexible, corkscrew spirochetes. Cocci that stay together in chains are streptococci; in grapelike clusters they are staphylococci.
Cell surface structures
Nearly all prokaryotes have a cell wall outside the plasma membrane. The wall maintains shape, protects the cell and prevents it from bursting in a hypotonic environment, where water rushes in by osmosis. Bacterial walls contain peptidoglycan, a network of sugar polymers cross linked by short polypeptides. Archaeal walls lack peptidoglycan and are built from other polysaccharides and proteins.
The Gram stain, developed in the 1880s, sorts bacteria into two groups by wall structure. Cells are stained with crystal violet, treated with iodine, rinsed with alcohol and counterstained with a red dye (safranin). Gram positive bacteria have a thick peptidoglycan layer that traps the crystal violet, so they stay purple. Gram negative bacteria have a thin peptidoglycan layer sandwiched between the plasma membrane and an outer membrane; the alcohol washes the violet out and they take the red counterstain. The outer membrane of gram negative bacteria contains lipopolysaccharide, whose lipid portion is toxic to animals, and it also blocks many drugs, so gram negative infections are often harder to treat. Penicillin and related antibiotics work by inhibiting peptidoglycan cross linking; because human cells have no peptidoglycan, these drugs harm bacteria with few direct effects on the patient.
Many prokaryotes secrete a sticky layer of polysaccharide or protein outside the wall: a dense, well defined capsule or a looser slime layer. These layers help cells adhere to surfaces, form biofilms (communities attached to surfaces such as teeth or medical catheters) and hide from the host's immune system. Some bacteria also form endospores, tough, dormant structures produced when essential nutrients run short. The cell copies its chromosome and surrounds one copy with a multilayered coat; the outer cell disintegrates, and the endospore can survive boiling, drying and disinfectants for centuries before germinating. Endospore formers include the bacteria that cause anthrax, tetanus and botulism, which is why canned foods must be heated under pressure to well above boiling.
Hairlike appendages called fimbriae allow prokaryotes to stick to surfaces or to each other. Longer pili (singular pilus), sometimes called sex pili, pull two cells together for DNA transfer. About half of prokaryotes are capable of directed movement, or taxis, toward or away from a stimulus such as food or light. The most common structure for movement is the flagellum. Bacterial flagella are entirely different from eukaryotic flagella: they are not covered by membrane and they rotate like propellers, driven by a motor in the cell envelope powered by the flow of hydrogen ions. The bacterial flagellum is a famous example of an evolved molecular machine: many of its proteins are related to proteins used in secretion systems, suggesting that it was assembled from preexisting parts.
Internal organization and genome
Prokaryotic cells lack the complex internal membranes of eukaryotes, although some carry out respiration or photosynthesis on infoldings of the plasma membrane. The genome usually consists of a single circular chromosome, with far fewer genes than a eukaryotic genome (a typical bacterium has a few thousand). The chromosome is concentrated in the nucleoid, a region without a membrane. Many cells also carry plasmids, small rings of DNA that replicate independently and often carry genes for antibiotic resistance, toxin production or the ability to use unusual nutrients. Prokaryotic ribosomes (70S) are smaller than eukaryotic ribosomes (80S) and differ in protein and RNA content, which allows antibiotics such as tetracycline and streptomycin to block bacterial protein synthesis selectively.
Reproduction and genetic variation
Prokaryotes reproduce asexually by binary fission: the chromosome is copied, the copies move apart, and the cell divides in two. Under ideal conditions some species divide every 20 minutes, although in nature growth is usually limited by nutrients. Three features generate great genetic diversity despite asexual reproduction: rapid reproduction, mutation and genetic recombination. Even a low mutation rate produces many new mutations in a population of billions of cells that reproduces several times a day, so prokaryotes can evolve within days, as the spread of drug resistance shows.
Genetic recombination in prokaryotes occurs through horizontal gene transfer by three mechanisms:
- Transformation: a cell takes up foreign DNA from its surroundings. In a classic experiment, harmless pneumococci acquired the ability to cause pneumonia by taking up DNA from heat killed virulent cells.
- Transduction: a bacteriophage (a virus that infects bacteria) accidentally packages a fragment of host DNA and carries it to a new host cell.
- Conjugation: DNA is transferred directly from one cell to another through a temporary connection. In E. coli, a donor cell carrying the F factor (fertility factor) on a plasmid forms a sex pilus, draws a recipient close and transfers a copy of the plasmid. R plasmids carry genes for resistance to antibiotics and can pass between different species, which is a major reason resistance spreads so quickly.
Metabolic diversity
Organisms are classified by how they obtain energy and carbon. Phototrophs get energy from light; chemotrophs get energy from chemicals. Autotrophs need only carbon dioxide as a carbon source; heterotrophs require at least one organic nutrient. Combining these gives four modes, and prokaryotes display all four, while eukaryotes use only two.
| Mode | Energy source | Carbon source | Examples |
|---|---|---|---|
| Photoautotroph | Light | CO2 | Cyanobacteria, plants, algae |
| Chemoautotroph | Inorganic chemicals (H2S, NH3, Fe2+) | CO2 | Nitrifying bacteria, some archaea at hydrothermal vents (prokaryotes only) |
| Photoheterotroph | Light | Organic compounds | Some marine and purple nonsulfur bacteria (prokaryotes only) |
| Chemoheterotroph | Organic compounds | Organic compounds | Most bacteria, fungi, animals, many protists |
Prokaryotes also differ in their relationship to oxygen. Obligate aerobes require O2 for cellular respiration. Obligate anaerobes are poisoned by O2 and live by fermentation or by anaerobic respiration, in which a substance other than oxygen, such as nitrate or sulfate, accepts electrons at the end of the electron transport chain. Facultative anaerobes, such as E. coli, use O2 when it is present and switch to fermentation or anaerobic respiration when it is not.
Many prokaryotes perform nitrogen fixation, converting atmospheric N2 into ammonia (NH3), a form other organisms can use to build proteins and nucleic acids. Only prokaryotes can fix nitrogen. Some cyanobacteria, such as Anabaena, separate this oxygen sensitive process from photosynthesis by forming specialized cells called heterocysts, which fix nitrogen but do not produce O2. Cooperation also appears in biofilms and in metabolic partnerships among different species.
Diversity of Bacteria and Archaea
Molecular phylogenies have divided Bacteria into many clades. Proteobacteria are a large, diverse group of gram negative bacteria including nitrogen fixing Rhizobium, the gut bacterium E. coli, Salmonella, Helicobacter pylori (a cause of stomach ulcers) and the ancestors of mitochondria. Cyanobacteria are the only prokaryotes with plantlike oxygenic photosynthesis; an ancient cyanobacterium became the chloroplast. Gram positive bacteria include soil dwelling Streptomyces (the source of many antibiotics), Staphylococcus, Streptococcus, Bacillus and Clostridium, and the wall-less mycoplasmas, the smallest known cells. Spirochetes are helical heterotrophs that spin through their environment using internal flagella; they cause syphilis and Lyme disease. Chlamydias are parasites that live only inside animal cells and cause a common sexually transmitted infection and blinding trachoma.
The Archaea include many extremophiles. Extreme halophiles live in highly saline environments such as the Great Salt Lake and the Dead Sea; some require water several times saltier than seawater. Extreme thermophiles thrive in very hot environments: a strain of Pyrococcus and other vent archaea grow above 100°C, and one archaeon can reproduce at 121°C, the temperature of an autoclave. Methanogens release methane as a byproduct of using CO2 to oxidize H2. They are strict anaerobes found in swamps, marshes, the guts of cattle and termites and in sewage treatment, and they are important producers of methane, a powerful greenhouse gas. Many archaea are not extreme at all and are abundant in ordinary soils and oceans.
| Characteristic | Bacteria | Archaea | Eukarya |
|---|---|---|---|
| Nuclear envelope | Absent | Absent | Present |
| Membrane bounded organelles | Absent | Absent | Present |
| Peptidoglycan in cell wall | Present | Absent | Absent |
| Membrane lipids | Unbranched hydrocarbons | Some branched hydrocarbons (ether linked) | Unbranched hydrocarbons |
| RNA polymerase | One kind | Several kinds | Several kinds |
| Histones with DNA | Absent | Present in some | Present |
| Introns in genes | Very rare | Present in some genes | Present in many genes |
| Response to streptomycin and chloramphenicol | Growth inhibited | Not inhibited | Not inhibited |
Prokaryotes are small cells without a nucleus, with a circular chromosome, plasmids and 70S ribosomes. Bacterial walls contain peptidoglycan, thick in gram positive and thin under an outer membrane in gram negative cells. Binary fission, mutation and horizontal gene transfer (transformation, transduction, conjugation) make prokaryotes fast to evolve. They show every nutritional mode, fix nitrogen and include the bacterial clades and the archaea, many of which are extremophiles or methanogens.
Section 2Viruses and their replication
What is a virus?
A virus is an infectious particle consisting of nucleic acid enclosed in a protein coat and, in some cases, a membranous envelope. Viruses are not cells. They have no ribosomes, no metabolism of their own and cannot reproduce outside a host cell. For this reason they are described as obligate intracellular parasites, and many biologists regard them as existing at the boundary between living and nonliving chemistry. They are, however, made of the same molecules as life, carry genes that evolve by natural selection, and have shaped the evolution of every lineage they infect. Most viruses are tiny, 20 to 300 nanometers across, far smaller than bacteria; they were first recognized because the agent of tobacco mosaic disease passed through filters that trapped bacteria.
Viral structure
The viral genome may be double stranded DNA, single stranded DNA, double stranded RNA or single stranded RNA, depending on the virus. It is usually linear or circular and may carry as few as four genes or as many as several hundred to over a thousand in "giant" viruses. The genome is enclosed in a protein shell, the capsid, built from many copies of a few kinds of protein subunits called capsomeres. Capsids may be rod shaped (helical), as in tobacco mosaic virus, or many sided (icosahedral), as in adenoviruses. Many animal viruses, including influenza, HIV and coronaviruses, have a viral envelope outside the capsid. The envelope is made from host cell membrane, studded with viral glycoproteins that bind to receptors on host cells. The most complex capsids belong to bacteriophages, or phages, viruses that infect bacteria. The T4 phage that infects E. coli has an icosahedral head holding its DNA, a protein tail sheath and tail fibers that attach to the host.
Each virus has a host range, the set of species, and often cell types, it can infect, determined largely by the fit between viral surface proteins and host receptor molecules. Some viruses are narrow: human cold viruses infect only cells lining the upper respiratory tract. Others, such as rabies and West Nile virus, infect many species. HIV binds the CD4 protein on helper T cells, which explains which cells it destroys.
The general pattern of viral replication
Every viral infection follows the same general logic. The virus binds to a host cell and its genome enters. The host's enzymes, ribosomes, tRNAs, amino acids and ATP are commandeered to copy the viral genome and make capsid proteins. The new genomes and capsid proteins then self assemble into new virus particles, which leave the cell. A single infected cell can release hundreds or thousands of new viruses.
Phage replication: the lytic and lysogenic cycles
Bacteriophages are the best understood viruses, and they illustrate two alternative strategies. In the lytic cycle, the phage replicates immediately and kills the host. A T4 phage attaches by its tail fibers, the tail sheath contracts and drives the DNA through the cell wall and membrane, and the phage DNA directs the host to destroy its own DNA and to make phage components. New phages assemble, and a phage encoded enzyme, lysozyme, digests the cell wall; the cell bursts (lyses) and releases about 100 to 200 phages. A phage that reproduces only this way is a virulent phage. Bacteria defend themselves: restriction enzymes cut foreign DNA at specific sequences while the cell's own DNA is protected by chemical modification, and the CRISPR-Cas system stores fragments of past phage DNA and uses them to target and cut matching invaders, a bacterial immune memory that was later adapted into a gene editing tool.
In the lysogenic cycle, the phage genome is replicated without destroying the host. A temperate phage, such as phage lambda, can use either cycle. After entering the cell, lambda DNA circularizes and may integrate into the bacterial chromosome at a specific site. The integrated viral DNA, called a prophage, is copied along with the chromosome each time the cell divides, so a single infection can produce a large population of bacteria carrying the virus in latent form. Most prophage genes are silent, held off by a repressor protein. An environmental signal, such as radiation or certain chemicals that damage DNA, can trigger the prophage to exit the chromosome and switch to the lytic cycle. Some prophage genes are expressed during lysogeny and change the host's properties: the bacteria that cause diphtheria, botulism and scarlet fever are harmful because prophage genes encode their toxins, and certain dangerous strains of E. coli carry a Shiga toxin gene from a prophage.
Animal viruses
Animal viruses enter cells by fusion of the envelope with the plasma membrane or by endocytosis. For an enveloped virus such as influenza, glycoproteins on the envelope bind host receptors, the capsid and genome enter the cell, and host enzymes remove the capsid. Viral genes are expressed, new genomes are copied, and capsid proteins are made by free ribosomes, while envelope glycoproteins are made in the endoplasmic reticulum and travel through the Golgi apparatus to the plasma membrane. New capsids wrapped around genomes then bud from the cell, taking a piece of membrane with them. Budding does not necessarily kill the host cell immediately, which is one reason some enveloped viruses cause chronic infections. Herpesviruses gain their envelope from the nuclear membrane and can remain latent as minichromosomes in nerve cells for years, reactivating under stress as cold sores or shingles.
RNA viruses must copy RNA from an RNA template, something host cells normally do not do, so most carry or encode an RNA dependent RNA polymerase. This enzyme lacks proofreading, so RNA viruses have high mutation rates, one reason influenza vaccines must be updated each year. In positive sense single stranded RNA viruses (such as poliovirus and coronaviruses), the genome itself acts as mRNA and is translated as soon as it enters the cell. Negative sense viruses (such as influenza, measles and rabies) carry a genome that is complementary to mRNA and must first be copied by the viral polymerase they bring along.
Retroviruses, such as HIV, have the most complicated cycle. They carry an enzyme, reverse transcriptase, that copies their RNA genome into DNA, reversing the usual flow of genetic information. The new viral DNA enters the nucleus and is inserted into a host chromosome by the viral enzyme integrase, becoming a provirus. Unlike a prophage, a provirus remains permanently in the host genome. Host RNA polymerase transcribes it into RNA that serves both as new genomes and as mRNA for viral proteins. HIV gradually destroys helper T cells, and untreated infection progresses to acquired immunodeficiency syndrome (AIDS). Combination drug therapy that blocks reverse transcriptase, integrase and the viral protease can hold the virus at undetectable levels, but it cannot remove proviruses already integrated into long lived cells. About 8 percent of the human genome consists of the remnants of ancient retroviral infections inherited from our ancestors.
| Genome type | How mRNA is made | Examples |
|---|---|---|
| Double stranded DNA | Host or viral RNA polymerase transcribes DNA | Herpesviruses, smallpox, papillomaviruses, T4 phage |
| Single stranded DNA | Converted to double stranded DNA, then transcribed | Parvoviruses |
| Double stranded RNA | Viral polymerase copies one strand | Rotavirus |
| Positive sense single stranded RNA | Genome serves directly as mRNA | Poliovirus, hepatitis A, coronaviruses |
| Negative sense single stranded RNA | Viral polymerase makes complementary mRNA | Influenza, measles, mumps, rabies, Ebola |
| RNA with reverse transcriptase (retrovirus) | RNA copied to DNA, integrated, then transcribed | HIV |
Emerging viruses, viroids and prions
Viruses that suddenly appear or spread to new hosts are called emerging viruses. They arise in three main ways: mutation of existing viruses, as in new influenza strains; spread of an existing virus from a small, isolated human population; and, most commonly, spillover from animals into humans (zoonosis), as with HIV from chimpanzees, Ebola, the 2009 H1N1 influenza and SARS coronaviruses from bats. Influenza A is especially changeable because its genome is in eight separate RNA segments; when two strains infect the same cell, as can happen in pigs or birds, the segments can be reshuffled into a new combination. A disease that spreads widely within a population is an epidemic; one that spreads worldwide is a pandemic.
Two kinds of infectious agent are even simpler than viruses. Viroids are small, naked, circular RNA molecules, only a few hundred nucleotides long, that infect plants. They encode no proteins but disrupt the plant's gene regulation, stunting growth. Prions are misfolded forms of a normal brain protein. A prion converts normally folded versions of the protein into the misfolded shape, and the misfolded proteins aggregate, causing degenerative brain diseases such as scrapie in sheep, bovine spongiform encephalopathy ("mad cow disease") and Creutzfeldt-Jakob disease in humans. Prions act very slowly, with incubation periods of years, and resist heat and normal sterilization because they contain no nucleic acid to destroy.
Viruses are genes in a protein capsid, sometimes with an envelope, that replicate only inside host cells by hijacking host machinery. Phages follow the lytic cycle (replicate and lyse) or the lysogenic cycle (integrate as a prophage until induced). Enveloped animal viruses bud from cells, RNA viruses mutate rapidly, and retroviruses use reverse transcriptase to become permanent proviruses. Emerging viruses usually spill over from animals, and viroids and prions are infectious RNA and protein without a capsid.
Section 3Protist diversity and endosymbiosis
What is a protist?
Protists are eukaryotes that are not plants, animals or fungi. Most are unicellular, but there are colonial and multicellular forms, including giant kelps tens of meters long. The term is convenient rather than formal: protists do not form a clade, because some are more closely related to plants, animals or fungi than to other protists. The old kingdom Protista is therefore paraphyletic and has been abandoned, and protists are now distributed among several eukaryotic supergroups.
Protists are more structurally diverse than any other eukaryotic group, and a single cell must carry out every function of life. Their nutrition spans the full range. Photoautotrophs contain chloroplasts; heterotrophs absorb organic molecules or ingest food particles; and mixotrophs, such as Euglena, combine photosynthesis with heterotrophic nutrition. Photosynthetic protists are informally called algae, heterotrophs that move and ingest food are called protozoans, and absorptive forms resemble fungi, but these labels describe lifestyles, not relationships. Reproduction is equally varied: some protists reproduce only asexually, while others use meiosis and fertilization, and many alternate between the two.
Endosymbiosis: how eukaryotes got their organelles
Endosymbiosis is a relationship in which one organism lives inside the cells of another. According to the endosymbiont theory, mitochondria and plastids (chloroplasts and related organelles) descend from free living prokaryotes that were engulfed by a host cell and became permanent residents. Strong evidence supports it. Both organelles have two membranes, with inner membrane enzymes and transport systems similar to those of prokaryotes. They divide by a process like binary fission. They carry their own circular DNA without histones, and their own ribosomes, which resemble bacterial 70S ribosomes in size, sequence and sensitivity to antibiotics. Their genes are most similar to those of particular bacteria: mitochondria to alphaproteobacteria and plastids to cyanobacteria. Over time most endosymbiont genes moved to the host nucleus, so the organelles can no longer live on their own.
The mitochondrion came first: all known eukaryotes either have mitochondria or have reduced organelles derived from them, so the engulfment of an alphaproteobacterium by an archaeal host was probably part of the origin of eukaryotes themselves. Later, in primary endosymbiosis, a heterotrophic eukaryote that already had mitochondria engulfed a cyanobacterium. Its descendants gave rise to red algae and green algae (and, from green algae, land plants), whose plastids are surrounded by two membranes. Plastids then spread further through secondary endosymbiosis, in which a heterotrophic eukaryote engulfed a red or green alga and kept its plastid. These secondary plastids are wrapped in three or four membranes, the extra layers coming from the engulfed alga's plasma membrane and the host's food vacuole. In some species, such as chlorarachniophytes, a tiny vestigial nucleus of the engulfed alga, the nucleomorph, still sits between the membranes, a clear trace of the event.
The major protist groups
Current phylogenies place most protists into four supergroups, though their exact relationships are still debated.
Excavata is named for a feeding groove "excavated" into one side of the cell in many members. Diplomonads and parabasalids have reduced mitochondria and live in anaerobic environments. They include Giardia intestinalis, an intestinal parasite spread through water contaminated with feces, and Trichomonas vaginalis, a sexually transmitted parasite. Euglenozoans have a spiral or crystalline rod inside their flagella. They include kinetoplastids, with a single large mitochondrion holding a mass of DNA, such as Trypanosoma, which causes African sleeping sickness (spread by tsetse flies) and Chagas disease, and euglenids such as Euglena, which has a light sensing eyespot and is a mixotroph.
The SAR clade, named for its three subgroups, is united by DNA similarities. Stramenopiles usually have a "hairy" flagellum paired with a smooth one. They include diatoms, unicellular algae with glassy two part walls of silica that perform a large share of global photosynthesis and form diatomaceous earth; brown algae, the largest and most complex algae, including kelps with rootlike holdfasts, stemlike stipes and leaflike blades; and oomycetes (water molds), once mistaken for fungi, including the pathogen that caused the Irish potato famine. Alveolates have membrane bounded sacs (alveoli) under the plasma membrane. They include dinoflagellates, whose blooms cause toxic "red tides" and which live as symbionts in reef building corals; apicomplexans, parasites with an apical complex of organelles for penetrating host cells, such as Plasmodium, the cause of malaria; and ciliates, such as Paramecium, which move by cilia and carry two kinds of nuclei, a large macronucleus for everyday functions and small micronuclei used in conjugation, a sexual exchange of genes. Rhizarians are amoebas with threadlike pseudopodia, including forams, whose porous calcium carbonate shells build limestone deposits and serve as climate records, and radiolarians, with delicate silica skeletons.
Archaeplastida descends from the primary endosymbiosis and includes red algae, colored by the pigment phycoerythrin and able to live at greater depths than other algae (some are used as nori in sushi and as the source of agar), green algae, such as Chlamydomonas, Volvox and sea lettuce, and the land plants, which evolved from green algae called charophytes.
Unikonta includes the amoebozoans, amoebas with lobe or tube shaped pseudopodia, such as plasmodial slime molds (a single mass of cytoplasm with many nuclei that streams over forest litter), cellular slime molds such as Dictyostelium, whose cells aggregate into a multicellular slug when food runs short, and Entamoeba histolytica, which causes amoebic dysentery. Unikonta also includes the opisthokonts: animals, fungi and their closest protist relatives, the choanoflagellates (sister group of animals) and the nucleariids (close to fungi).
| Supergroup | Representative groups | Notable organism or importance |
|---|---|---|
| Excavata | Diplomonads, parabasalids, euglenozoans | Giardia; Trichomonas; Trypanosoma (sleeping sickness); Euglena |
| SAR: stramenopiles | Diatoms, brown algae, oomycetes | Diatoms are major oxygen producers; kelp forests; potato blight |
| SAR: alveolates | Dinoflagellates, apicomplexans, ciliates | Red tides and coral symbionts; Plasmodium (malaria); Paramecium |
| SAR: rhizarians | Forams, radiolarians | Calcium carbonate and silica skeletons; marine sediments |
| Archaeplastida | Red algae, green algae, land plants | Agar and nori; ancestors of land plants |
| Unikonta | Amoebozoans; opisthokonts | Slime molds; Entamoeba; choanoflagellates, fungi and animals |
A protist life cycle: malaria
Plasmodium needs two hosts, mosquitoes and humans. When an infected Anopheles mosquito bites, it injects sporozoites that travel to the liver, multiply and then invade red blood cells. Inside red cells the parasite divides asexually, releasing merozoites that burst the cells and infect more of them in synchronized waves, causing cycles of chills and fever. Some merozoites become gametocytes that a biting mosquito takes up; fertilization and further development occur in the mosquito, which then carries new sporozoites to its salivary glands. The parasite changes its surface proteins and spends much of its time hidden inside host cells, which has made a vaccine hard to develop. Malaria still causes several hundred thousand deaths each year, mostly in young children.
Protists are a paraphyletic collection of mostly unicellular eukaryotes with every nutritional mode. Mitochondria and plastids descend from engulfed bacteria; primary endosymbiosis of a cyanobacterium produced red and green algae, and secondary endosymbiosis spread plastids to other lineages. The supergroups Excavata, SAR, Archaeplastida and Unikonta contain major producers (diatoms, algae), pathogens (Giardia, Trypanosoma, Plasmodium) and the relatives of animals and fungi.
Section 4Fungal structure, reproduction and diversity
Fungi are absorptive heterotrophs
Fungi are eukaryotes that include yeasts, molds, mushrooms and their relatives. Although they were once classified with plants, molecular evidence shows that fungi are more closely related to animals: both belong to the opisthokonts, and the two lineages diverged roughly a billion years ago. Like animals, fungi are heterotrophs, but they do not ingest food. Instead they feed by absorption: they secrete powerful hydrolytic enzymes into their surroundings, break down complex molecules outside the body and absorb the resulting small molecules. This mode of nutrition lets fungi digest almost any organic material, including wood, which few other organisms can break down. Fungi live as decomposers (saprobes) that feed on dead matter, as parasites that absorb nutrients from living hosts, or as mutualists that exchange nutrients with partners.
Body structure
Some fungi are single celled yeasts, but most grow as multicellular filaments. A fungal filament is a hypha (plural hyphae), a tube of cytoplasm surrounded by a plasma membrane and a cell wall of chitin, a strong, flexible nitrogen containing polysaccharide also found in insect exoskeletons. Hyphae branch and interweave to form a mycelium, the feeding network of the fungus. A mycelium maximizes surface area for absorption: a cubic centimeter of rich soil may contain a kilometer of hyphae. Mycelia grow rapidly at their tips, extending perhaps a kilometer of new hyphae a day in a large individual, and some are enormous: one honey mushroom mycelium in Oregon covers about 965 hectares and is estimated to be thousands of years old. Mushrooms and other visible structures are only the reproductive bodies of a much larger hidden mycelium.
Most fungi have hyphae divided into cells by cross walls called septa, which usually have pores large enough for ribosomes, mitochondria and even nuclei to flow between cells; these are septate hyphae. Some fungi lack septa and have coenocytic hyphae, continuous masses of cytoplasm containing hundreds or thousands of nuclei formed by repeated nuclear division without cytokinesis. Parasitic fungi often have specialized hyphae called haustoria that penetrate host cells and extract nutrients. Mutualistic fungi form mycorrhizae ("fungus roots"), associations with plant roots in which the fungus supplies phosphate and other minerals and receives sugars from the plant; nearly all vascular plants have them. In ectomycorrhizae, hyphae sheath the root and grow between root cells; in arbuscular mycorrhizae, hyphae penetrate root cell walls and form branched arbuscules against the plant cell membrane.
Sexual and asexual reproduction
Fungi reproduce by producing vast numbers of spores, sexually or asexually. Spores are carried by wind, water or animals, and any that land in a moist place with food germinate into new mycelia. A puffball can release trillions of them.
The nuclei of fungal hyphae and spores are usually haploid, though many species have genetically different nuclei sharing one mycelium. Sexual reproduction in fungi has an unusual two step fertilization. First, hyphae of two mycelia of different mating types, signaled by pheromones, fuse their cytoplasm in plasmogamy. The nuclei do not fuse right away; the mycelium contains coexisting haploid nuclei from both parents and is called a heterokaryon. In some fungi the paired nuclei divide in tandem, two to a cell, a condition called dikaryotic (n + n). Hours, days, or even centuries later, the haploid nuclei fuse in karyogamy, forming diploid nuclei. The diploid stage is brief: the zygote quickly undergoes meiosis, producing genetically varied haploid spores. Thus the diploid zygote is the only diploid stage in most fungal life cycles.
Many fungi also reproduce asexually. Molds produce haploid spores by mitosis on specialized hyphae, often called conidia when made at the tips of hyphae. Yeasts reproduce by simple cell division or by budding of a small cell from a parent. Many fungi have no known sexual stage and were once grouped as "imperfect fungi" or deuteromycetes; DNA comparisons now place most of them in the ascomycetes.
The diversity of fungi
Fungi probably evolved from a single celled, flagellated ancestor in water. The earliest diverging lineages are still mostly aquatic. Mycologists recognize about 100,000 described species, but estimates of the true number run to several million.
- Chytrids are found in lakes, soil and animal guts and are the only fungi with flagellated spores, called zoospores, a trait inherited from the common ancestor of fungi. One chytrid, Batrachochytrium dendrobatidis, has caused catastrophic declines and extinctions of amphibians worldwide by infecting their skin.
- Zygomycetes (zygote fungi) include fast growing molds on bread and fruit, such as black bread mold, Rhizopus stolonifer, with coenocytic hyphae. Their sexual stage forms a tough, resistant zygosporangium that can survive harsh conditions, then undergo meiosis to release spores.
- Glomeromycetes form arbuscular mycorrhizae with the roots of most plants. They reproduce asexually and have been central to plant life since plants first colonized land.
- Ascomycetes (sac fungi) form sexual spores in saclike asci (singular ascus), usually housed in a fruiting body called an ascocarp. They range from unicellular yeasts to cup fungi and morels, and include Penicillium (source of penicillin and flavor in blue cheese), baker's and brewer's yeast Saccharomyces cerevisiae, Neurospora (a genetics model) and many plant pathogens. Many ascomycetes form lichens.
- Basidiomycetes (club fungi) form spores on club shaped cells called basidia, usually in a basidiocarp such as a mushroom. Their long lived dikaryotic mycelia produce mushrooms quickly, sometimes overnight, by absorbing water. The group includes mushrooms, puffballs, shelf fungi, rusts and smuts, and the important wood decomposers that break down lignin.
| Group | Hyphae | Sexual structure | Examples and importance |
|---|---|---|---|
| Chytrids | Coenocytic or unicellular | Flagellated zoospores (unique among fungi) | Amphibian chytrid disease; decomposers in water |
| Zygomycetes | Coenocytic | Zygosporangium | Black bread mold; fruit rots |
| Glomeromycetes | Coenocytic | No known sexual stage | Arbuscular mycorrhizae of most plants |
| Ascomycetes | Septate | Ascus inside an ascocarp | Yeasts, Penicillium, morels, truffles, many lichens |
| Basidiomycetes | Septate, long lived dikaryon | Basidium, often in a mushroom | Mushrooms, puffballs, rusts, smuts, wood decay |
Fungi are absorptive heterotrophs related to animals. Most grow as mycelia of chitin walled hyphae, septate or coenocytic, that digest food externally. Sexual reproduction separates plasmogamy from karyogamy, leaving a heterokaryotic or dikaryotic stage, and the brief diploid zygote undergoes meiosis to make spores; asexual spores and budding are also common. The major groups are chytrids, zygomycetes, glomeromycetes, ascomycetes and basidiomycetes.
Section 5Microbes in ecosystems and human health
Decomposers and chemical recycling
Without microbes, the chemical elements of life would be locked in dead bodies and wastes. Bacteria, archaea and fungi are the principal decomposers: they break down dead organisms and wastes and return carbon, nitrogen, phosphorus and other elements to the soil, water and air in inorganic forms that plants and other producers can reuse. Fungi are especially important for decomposing wood because their enzymes can attack lignin and cellulose. Prokaryotes also drive steps of nutrient cycles that no other organisms perform. Photosynthetic cyanobacteria and protists, including diatoms and dinoflagellates, generate a large share of Earth's oxygen and form the base of aquatic food webs as phytoplankton.
The nitrogen cycle
Nitrogen is essential for amino acids and nucleotides, and air is about 78 percent N2. But the triple bond of N2 makes it unusable for most organisms, so the availability of fixed nitrogen often limits plant growth. Prokaryotes carry out every key conversion in the nitrogen cycle:
- Nitrogen fixation: nitrogen fixing bacteria and archaea, using the enzyme nitrogenase, convert N2 to ammonia (NH3), which picks up a hydrogen ion in soil to become ammonium (NH4+). Rhizobium lives in root nodules of legumes such as peas, beans and clover; cyanobacteria fix nitrogen in water and in rice paddies.
- Ammonification: decomposers release ammonium from the proteins and nucleic acids of dead organisms and wastes.
- Nitrification: chemoautotrophic bacteria oxidize ammonium to nitrite (NO2-) and then nitrite to nitrate (NO3-), gaining energy at each step. Nitrate is the form most plants absorb.
- Denitrification: under low oxygen conditions, some bacteria use nitrate in anaerobic respiration and release N2 back to the atmosphere.
Symbiosis
An ecological relationship in which two species live in close contact is a symbiosis. The larger organism is the host and the smaller the symbiont. In mutualism both partners benefit; in commensalism one benefits and the other is neither helped nor harmed; in parasitism the parasite benefits at the host's expense. Parasites that cause disease are pathogens.
Microbial mutualisms are everywhere. Bacteria in the root nodules of legumes fix nitrogen in exchange for sugars. Bacteria and protists in the rumen of cattle and the gut of termites digest cellulose that the animals cannot break down alone. Lichens are symbiotic associations of a fungus (usually an ascomycete) with millions of photosynthetic green algae or cyanobacteria held in its hyphae; the photosynthetic partner provides carbon compounds (and fixed nitrogen if it is a cyanobacterium), while the fungus provides a protective environment, water and minerals. Lichens can colonize bare rock, where their acids help begin soil formation, and because they absorb pollutants from the air they are used to monitor air quality. Fungal endophytes live inside leaves of nearly all plants without causing harm, and some make toxins that deter herbivores or improve drought tolerance. Leaf cutter ants farm fungi in underground gardens, feeding them chewed leaves and eating the fungal growth.
The human body hosts a dense community of microbes, the microbiome, numbering trillions of cells of hundreds of species, most in the large intestine. These microbes digest fiber into short chain fatty acids that nourish the colon lining, synthesize vitamins such as vitamin K and some B vitamins, train the immune system and occupy space that would otherwise be open to pathogens. Disruption of the microbiome, for example by broad spectrum antibiotics, can let the toxin producing bacterium Clostridioides difficile overgrow and cause severe diarrhea; transplants of stool from healthy donors can restore the community and cure many such infections.
| Partnership | Microbial partner | Microbe provides | Partner provides |
|---|---|---|---|
| Legume root nodules | Rhizobium bacteria | Fixed nitrogen (ammonium) | Sugars and a low oxygen nodule |
| Mycorrhizae | Glomeromycete or basidiomycete fungi | Phosphate, minerals and water | Sugars from photosynthesis |
| Lichen | Fungus with algae or cyanobacteria | Fungus: shelter, water, minerals; alga: sugars | Each partner supplies the other |
| Cattle rumen, termite gut | Bacteria, archaea, protists | Digestion of cellulose | Food supply and stable habitat |
| Coral reefs | Dinoflagellates | Sugars from photosynthesis | Shelter, CO2 and nutrients |
| Human gut | Mostly bacteria | Vitamins K and B, fiber fermentation, immune training | Nutrients and warm habitat |
Microbes as pathogens
Only a small fraction of microbes cause disease, but those few have had enormous effects on human history. To prove that a particular microbe causes a disease, researchers traditionally use Koch's postulates: (1) the pathogen must be found in every case of the disease; (2) it must be isolated and grown in pure culture; (3) the cultured pathogen must cause the disease when introduced into a healthy host; and (4) the same pathogen must be isolated again from the experimentally infected host. Some pathogens, such as viruses and bacteria that cannot be grown outside cells, cannot satisfy every postulate, and molecular methods are now used as well.
Bacteria typically cause illness by producing toxins. Exotoxins are proteins secreted by bacteria, often by gram positive species, that can cause disease even when the bacteria are not present. They are among the most potent poisons known: botulinum toxin from Clostridium botulinum blocks release of acetylcholine and causes paralysis, and cholera toxin causes massive loss of water and salts into the intestine. Endotoxins are the lipid portions of lipopolysaccharide in the outer membrane of gram negative bacteria, released when the bacteria die and break apart; they cause fever, inflammation and, in large amounts, septic shock, as in Salmonella infections.
Fungal pathogens cause athlete's foot and ringworm, vaginal yeast infections by Candida, and dangerous lung infections in people with weakened immunity. Fungi devastate crops: rusts, smuts and molds can destroy harvests, and ergot, a fungus on rye, produces toxins that caused historic outbreaks of poisoning. Protist pathogens include the agents of malaria, sleeping sickness, giardiasis and amoebic dysentery.
Antibiotic resistance
An antibiotic is a compound that kills bacteria or inhibits their growth, often by targeting structures absent in human cells, such as peptidoglycan walls or 70S ribosomes. Antibiotics have no effect on viruses. Resistance evolves by natural selection: within a large bacterial population, a few cells may carry a mutation or plasmid gene that lets them survive a drug. Antibiotic exposure kills the susceptible cells, the resistant survivors multiply, and R plasmids can then pass resistance genes horizontally to other cells and species. Overprescription, stopping treatment early, and routine use of antibiotics in livestock all accelerate this process. Strains such as methicillin resistant Staphylococcus aureus (MRSA) and multidrug resistant tuberculosis now cause infections that are difficult or impossible to treat with standard drugs.
Microbes recycle chemical elements as decomposers and carry out every step of the nitrogen cycle: fixation, ammonification, nitrification and denitrification. Mutualisms such as root nodules, mycorrhizae, lichens and the gut microbiome are vital to plants and animals. A minority of microbes are pathogens, identified by Koch's postulates and harmful through exotoxins or endotoxins, and natural selection has made antibiotic resistance a major public health threat.
The chapter in one breath
- Prokaryotes (Bacteria and Archaea) lack a nucleus and organelles, carry a circular chromosome, plasmids and 70S ribosomes, and often have capsules, fimbriae and rotating flagella.
- The Gram stain separates thick peptidoglycan walls (gram positive, purple) from thin walls under an outer membrane (gram negative, pink).
- Prokaryotes reproduce by binary fission and exchange genes by transformation, transduction and conjugation, so they evolve quickly.
- Prokaryotes use all four nutritional modes, differ in oxygen requirements and alone perform nitrogen fixation; archaea include extremophiles and methanogens.
- Viruses are nucleic acid in a capsid, sometimes enveloped, that replicate only inside host cells and have specific host ranges.
- Phages follow the lytic cycle or the lysogenic cycle; retroviruses such as HIV use reverse transcriptase to become proviruses; viroids and prions are even simpler infectious agents.
- Mitochondria and plastids arose by endosymbiosis; primary endosymbiosis produced red and green algae, and secondary endosymbiosis spread plastids to other protists.
- Protists are a paraphyletic group spread over Excavata, SAR, Archaeplastida and Unikonta, including diatoms, kelps, Plasmodium and slime molds.
- Fungi are absorptive heterotrophs with chitin walled hyphae forming a mycelium; sexual reproduction separates plasmogamy from karyogamy.
- The fungal groups are chytrids, zygomycetes, glomeromycetes, ascomycetes and basidiomycetes.
- Microbes are decomposers, drive the nitrogen cycle and form mutualisms such as mycorrhizae, lichens and the gut microbiome.
- Pathogens are confirmed by Koch's postulates, cause harm through exotoxins and endotoxins, and evolve antibiotic resistance by natural selection.
Words worth knowing
| Term | What it means |
|---|---|
| Peptidoglycan | The polymer of sugars cross linked by short peptides that forms bacterial cell walls. |
| Gram positive | Bacteria with a thick peptidoglycan wall that retains crystal violet and stains purple. |
| Gram negative | Bacteria with a thin peptidoglycan layer and an outer membrane that stain pink after the Gram procedure. |
| Endospore | A tough, dormant structure some bacteria form to survive harsh conditions. |
| Nucleoid | The region of a prokaryotic cell that holds the chromosome, without a surrounding membrane. |
| Plasmid | A small, circular DNA molecule that replicates independently of the chromosome. |
| Binary fission | Asexual division of a prokaryotic cell into two genetically identical cells. |
| Transformation | Uptake of foreign DNA from the environment by a cell. |
| Transduction | Transfer of bacterial DNA from one cell to another by a bacteriophage. |
| Conjugation | Direct transfer of DNA between two prokaryotic cells joined by a pilus. |
| Chemoautotroph | An organism that gets energy from inorganic chemicals and carbon from CO2. |
| Facultative anaerobe | An organism that uses oxygen when present but can survive by fermentation or anaerobic respiration without it. |
| Methanogen | An archaeon that produces methane as a metabolic byproduct; a strict anaerobe. |
| Capsid | The protein shell that encloses a viral genome. |
| Bacteriophage | A virus that infects bacteria. |
| Lytic cycle | A phage replication cycle that ends with lysis of the host cell and release of new phages. |
| Prophage | Phage DNA integrated into a bacterial chromosome during the lysogenic cycle. |
| Reverse transcriptase | A retroviral enzyme that copies an RNA genome into DNA. |
| Provirus | Viral DNA permanently integrated into a host eukaryotic chromosome. |
| Prion | A misfolded infectious protein that converts normal proteins into the misfolded form. |
| Endosymbiont theory | The idea that mitochondria and plastids descend from prokaryotes engulfed by a host cell. |
| Secondary endosymbiosis | The engulfment of a eukaryotic alga by a heterotrophic eukaryote, which keeps the alga's plastid. |
| Mixotroph | An organism that combines photosynthesis with heterotrophic nutrition. |
| Hypha | One of the branching filaments that make up the body of a multicellular fungus. |
| Mycelium | The interwoven network of hyphae that forms the feeding body of a fungus. |
| Plasmogamy | Fusion of the cytoplasm of two parent fungal cells without fusion of their nuclei. |
| Karyogamy | Fusion of haploid nuclei to form a diploid nucleus. |
| Mycorrhiza | A mutualistic association between a fungus and plant roots. |
| Lichen | A symbiotic association of a fungus with green algae or cyanobacteria. |
| Nitrification | Bacterial oxidation of ammonium to nitrite and then nitrate. |
| Exotoxin | A protein toxin secreted by a living bacterium. |
| Endotoxin | The lipid portion of lipopolysaccharide in the gram negative outer membrane, released when cells die. |
Check yourself
Plants: Diversity, Structure, Transport and Reproduction
Almost every breath you take and almost every calorie you eat began as light captured by a plant. Plants built the oxygen-rich atmosphere, the soils, the forests and the fields that the rest of terrestrial life depends on, and they did it while rooted in place, unable to run from drought, heat or hungry animals. This chapter follows plants from their algal ancestors to flowering plants, then opens them up to see how they are built, how they move water and sugar without a heart, how they reproduce, and how they sense and respond to a changing world.
By the end of this chapter you can
- Trace land plant evolution from charophyte algae through bryophytes, seedless vascular plants, gymnosperms and angiosperms, naming the innovation that defines each step.
- Describe alternation of generations and explain how the balance between gametophyte and sporophyte shifted during plant evolution.
- Name the three plant tissue systems and their cell types, and distinguish primary growth from secondary growth and apical from lateral meristems.
- Compare eudicots and monocots in seed, leaf, stem, root and flower structure.
- Use water potential to predict water movement, and explain the cohesion tension mechanism of xylem transport and the role of stomata.
- Explain phloem transport by the pressure flow model from source to sink, and list the essential macronutrients and micronutrients.
- Label the parts of a flower, follow pollen and embryo sac development, and explain double fertilization and the origin of seeds and fruits.
- Match the major plant hormones (auxin, cytokinins, gibberellins, abscisic acid, ethylene, brassinosteroids, jasmonates) to their main effects.
- Describe plant responses to light (phytochrome, phototropism, photoperiodism), gravity, touch, stress and pathogens.
Section 1Plant evolution: from algae to flowering plants
What makes a plant a plant
Land plants (the embryophytes) are multicellular, photosynthetic eukaryotes that protect their embryos inside the tissues of the parent. They share with green algae chlorophylls a and b, starch stored in plastids, and cellulose cell walls. Their closest living relatives are the charophytes, freshwater green algae that share rosette-shaped cellulose-synthesizing complexes, a phragmoplast that guides cell plate formation, and flagellated sperm. Ancestors living at drying pond edges were selected for surviving brief desiccation, setting the stage for the move onto land roughly 470 to 500 million years ago.
Land offered more light, faster-diffusing carbon dioxide and mineral-rich soils, but also drying, no buoyant support and no water for sperm to swim through. Each major plant innovation solved one of these problems.
Derived traits of land plants
Five features appear in land plants but not in charophytes: alternation of generations between a multicellular haploid gametophyte and a multicellular diploid sporophyte; multicellular dependent embryos nourished by the parent through placental transfer cells; walled spores coated with drought-resistant sporopollenin and made in sporangia; multicellular gametangia, egg-holding archegonia and sperm-making antheridia; and apical meristems at shoot and root tips. Most land plants also have a waxy cuticle, stomata and fungal partners (mycorrhizae).
Alternation of generations
All land plants run the same basic cycle. The diploid sporophyte makes spores by meiosis in sporangia. A spore is haploid and divides by mitosis to grow into a multicellular haploid gametophyte. The gametophyte makes gametes by mitosis (not meiosis, because it is already haploid). Sperm fertilizes egg to form a diploid zygote, which grows by mitosis into a new sporophyte. Students often expect gametes to come from meiosis, as in animals; in plants, meiosis makes spores and gametes come later by mitosis.
The key evolutionary trend is the shift in which generation dominates. In bryophytes, the green leafy plant is the gametophyte, and the sporophyte is a small stalked capsule that stays dependent on it. In ferns, the large leafy plant is the sporophyte and the gametophyte is a tiny, free-living, heart-shaped prothallus. In seed plants, the gametophytes shrink to a few cells inside the sporophyte: the pollen grain (male) and the embryo sac in the ovule (female). A dominant diploid generation can mask harmful recessive mutations and can grow tall, vascular and long-lived.
Bryophytes: the nonvascular plants
The three bryophyte lineages, liverworts, mosses and hornworts, lack lignified vascular tissue, so they rarely grow more than a few centimeters tall. They absorb water over their surfaces, are anchored by filamentous rhizoids rather than true roots, and have flagellated sperm that must swim through a film of water to the archegonium. Mosses can still be ecologically huge: peat mosses (Sphagnum) store roughly 30 percent of the world's soil carbon in peatlands.
Seedless vascular plants
Vascular tissue was the next breakthrough. Xylem conducts water and minerals, and its conducting cells, called tracheids, are reinforced with lignin, a rigid polymer that also supports the plant against gravity. Phloem distributes sugars and other organic molecules. With pipes and support, plants could grow tall and the sporophyte could become dominant. Two lineages survive. Lycophytes (club mosses, spike mosses and quillworts) have microphylls, small leaves with a single unbranched vein. Monilophytes (ferns, horsetails and whisk ferns) have megaphylls, leaves with a branched network of veins that capture far more light. True roots also appear in vascular plants. Carboniferous swamp forests of giant lycophytes and horsetails became today's coal deposits.
Seedless vascular plants still need water for sperm to swim, and they disperse by spores. Most are homosporous (one spore type, bisexual gametophyte); some are heterosporous, making small microspores that develop into male gametophytes and large megaspores that develop into female gametophytes. Heterospory is the condition from which seeds evolved.
Seed plants: gymnosperms
Seed plants added four linked innovations: reduced gametophytes kept inside the sporophyte, heterospory in all species, ovules, and pollen. An ovule is a megasporangium wrapped in protective layers called integuments; the megaspore inside develops into the female gametophyte, which makes the egg. A pollen grain is a male gametophyte enclosed in a sporopollenin wall. Because pollen travels by wind or animals, seed plants freed fertilization from water. After fertilization, the ovule becomes a seed: an embryo plus a food supply wrapped in a seed coat. A seed can remain dormant for years and travel far, a major advantage over a single-celled spore.
Gymnosperms ("naked seeds") bear seeds exposed on the scales of cones rather than enclosed in an ovary. The four living groups are the conifers (pines, firs, spruces, redwoods), cycads, Ginkgo (a single living species) and the gnetophytes. Conifers dominate cold and dry forests partly because their needle leaves have thick cuticles and sunken stomata. In a pine, an ovulate cone takes two to three years from pollination to mature seed.
Angiosperms: flowers and fruit
Angiosperms are the flowering plants, with roughly 300,000 described species, about 90 percent of all living plant species. Two traits define them. The flower is a specialized shoot for sexual reproduction that often attracts animal pollinators, which carry pollen precisely between plants of the same species. The fruit is a mature ovary that protects seeds and aids their dispersal by wind, water or animals. The ovules are enclosed in a carpel, which is why seeds are "covered" (the meaning of angiosperm). Angiosperms also have vessel elements, wide water-conducting cells that move water faster than tracheids, and double fertilization, which produces a nutritive endosperm only when an egg is actually fertilized.
Angiosperms include a few basal lineages (such as Amborella and water lilies), the magnoliids, the monocots (grasses, orchids, palms) and the eudicots (roses, beans, oaks); monocots and eudicots hold about 97 percent of flowering plant species.
| Group | Example | Vascular tissue | Dominant generation | Water needed for sperm? | Dispersal unit |
|---|---|---|---|---|---|
| Bryophytes | Moss, liverwort, hornwort | No (no lignified xylem) | Gametophyte | Yes | Spore |
| Lycophytes | Club moss | Yes; microphylls | Sporophyte | Yes | Spore |
| Monilophytes | Fern, horsetail | Yes; megaphylls | Sporophyte (free-living gametophyte) | Yes | Spore |
| Gymnosperms | Pine, ginkgo, cycad | Yes; mostly tracheids | Sporophyte (gametophyte microscopic) | No (pollen) | Naked seed |
| Angiosperms | Grass, oak, rose | Yes; vessels and tracheids | Sporophyte (gametophyte microscopic) | No (pollen) | Seed inside fruit |
Land plants descend from charophyte green algae. Each major lineage added a solution to life on land: embryos, walled spores and a cuticle (all land plants), lignified vascular tissue (vascular plants), seeds and pollen (seed plants), and flowers and fruit (angiosperms). Over the same history, the sporophyte became the dominant generation and the gametophyte shrank until it hid inside the sporophyte.
Section 2Plant tissues, organs and growth
Three organs, two systems
A vascular plant body is built from just three organs: roots, stems and leaves. They form two systems. The root system anchors the plant, absorbs water and minerals, and often stores carbohydrates. The shoot system (stems plus leaves, and flowers in angiosperms) captures light and carbon dioxide. Each system depends on the other: roots cannot photosynthesize and depend on sugar from the shoot, while the shoot depends on the water and minerals the roots deliver.
Most eudicots have a taproot system: one main vertical root with lateral roots, good for reaching deep water and for storage (carrots). Most monocots have a fibrous root system, a mat of thin roots that holds soil against erosion (grasses). Roots that grow from stems or leaves are adventitious. Most absorption happens near root tips, where root hairs, outgrowths of single epidermal cells, vastly increase surface area.
A stem has nodes, where leaves attach, and internodes between them. An axillary bud in the angle between leaf and stem can grow into a branch, while the apical bud at the shoot tip drives upward growth. Modified stems include rhizomes (horizontal underground stems), stolons (surface runners of strawberries) and tubers such as potatoes, whose "eyes" are axillary buds, proof that a potato is a stem.
A typical leaf has a flat blade and a stalk, the petiole. Leaves are modified as pea tendrils, cactus spines, onion storage leaves and the traps of carnivorous plants.
Three tissue systems
Each organ is made of three tissue systems that run continuously through the whole plant. The dermal tissue system is the outer covering. In young, nonwoody parts it is the epidermis, a layer of tightly packed cells covered by the waxy cuticle; it includes guard cells, root hairs and trichomes (hairlike outgrowths that reduce water loss and deter insects). In woody parts the epidermis is replaced by periderm. The vascular tissue system consists of xylem and phloem. The ground tissue system is everything else: tissue inside the vascular tissue is pith, and tissue outside it is cortex. Ground tissue does photosynthesis, storage and support.
Plant cell types
Three basic cell types make up ground tissue, and specialized cells make up xylem and phloem. Mature plant cells differ mostly in their cell walls. All have a primary cell wall made while the cell grows; some add a thick, often lignified secondary cell wall inside the primary wall once growth stops.
| Cell type | Wall | Alive at maturity? | Main roles | Example |
|---|---|---|---|---|
| Parenchyma | Thin primary wall | Yes | Photosynthesis, storage, secretion; can divide and differentiate for wound repair | Leaf mesophyll, potato starch cells, fruit flesh |
| Collenchyma | Unevenly thickened primary wall | Yes | Flexible support of growing parts | Celery "strings" |
| Sclerenchyma: fibers | Thick lignified secondary wall | Usually no | Rigid support, long and tapered | Hemp, flax (linen) |
| Sclerenchyma: sclereids | Very thick lignified secondary wall | Usually no | Hardness | Nutshells, seed coats, grit in pears |
| Tracheids | Lignified, with pits | No (dead, hollow) | Water conduction through pits; support | All vascular plants |
| Vessel elements | Lignified; end walls perforated | No (dead, hollow) | Fast water conduction in continuous vessels | Most angiosperms |
| Sieve-tube elements | Primary wall; sieve plates at ends | Yes, but no nucleus, ribosomes or vacuole | Sugar transport in phloem | Angiosperm phloem |
| Companion cells | Primary wall | Yes, full set of organelles | Load sugars; serve the sieve-tube element through plasmodesmata | Beside each sieve-tube element |
Meristems and primary growth
Animals mostly stop growing at maturity, but plants show indeterminate growth: they keep growing throughout life because they keep meristems, populations of undifferentiated, dividing cells. Apical meristems at root and shoot tips produce primary growth, which lengthens roots and shoots. Lateral meristems produce secondary growth, which thickens stems and roots in woody plants. Annuals complete their life cycle in one year, biennials in two, and perennials live many years.
A root tip shows primary growth as overlapping zones. The root cap protects the meristem and senses gravity. Behind it, the zone of cell division holds the apical meristem; in the zone of elongation, cells lengthen up to tenfold by filling their vacuoles with water, pushing the tip through soil; in the zone of differentiation, cells specialize and root hairs appear.
Apical meristems give rise to three primary meristems: protoderm (becomes epidermis), ground meristem (ground tissue) and procambium (primary xylem and phloem). In a eudicot root, vascular tissue forms a central core, often an X of xylem with phloem between its arms, surrounded by the pericycle (origin of lateral roots) and the endodermis, the innermost cortex layer. In stems, vascular tissue forms vascular bundles, in a ring in eudicots and scattered in monocots.
Leaf anatomy
A leaf must exchange gases while losing little water. Cuticle-covered upper and lower epidermis enclose the mesophyll; stomata, each a pore between two guard cells, are usually most numerous on the lower surface. In eudicots, columnar palisade mesophyll under the upper epidermis does most photosynthesis, and loose spongy mesophyll below has air spaces connected to the stomata. Veins are wrapped in a bundle sheath, the site of the Calvin cycle in C4 plants.
Secondary growth
Secondary growth adds girth in gymnosperms and many eudicots, rarely in monocots. The vascular cambium, a cylinder of dividing cells between primary xylem and phloem, makes secondary xylem inward and secondary phloem outward, far more xylem than phloem. Accumulated secondary xylem is wood. Wide spring cells and narrow late-summer cells produce annual growth rings. Older central heartwood no longer conducts water; outer sapwood does.
As the stem widens, the cork cambium forms in the outer cortex and makes suberin-coated cork cells; together they form the periderm, which replaces the epidermis, with lenticels for gas exchange. Bark is everything outside the vascular cambium, including secondary phloem. Girdling a trunk therefore cuts off sugar to the roots, and the tree slowly dies.
| Feature | Monocots | Eudicots |
|---|---|---|
| Cotyledons (seed leaves) | One | Two |
| Leaf venation | Usually parallel | Usually netlike (reticulate) |
| Stem vascular bundles | Scattered | In a ring |
| Root system | Usually fibrous | Usually a taproot |
| Pollen grain | One opening (aperture) | Three openings |
| Floral organs | Usually in multiples of three | Usually in multiples of four or five |
| Secondary growth (wood) | Rare | Common |
| Examples | Grasses, corn, rice, wheat, lilies, orchids, palms | Beans, roses, oaks, maples, sunflowers, tomatoes |
Roots, stems and leaves are each built from dermal, vascular and ground tissue made of a few cell types. Apical meristems lengthen roots and shoots (primary growth); in woody plants the vascular cambium and cork cambium add girth (secondary growth), producing wood inside and bark outside. Monocots and eudicots differ predictably in cotyledons, veins, bundle arrangement, roots, pollen and flower parts.
Section 3Transport in plants and plant nutrition
Water potential
To predict where water will go, plant biologists use water potential (Ψ), the potential energy of water per unit volume relative to pure water, measured in megapascals (MPa). The rule is simple: water moves from higher water potential to lower water potential. Pure water in an open container has Ψ = 0 MPa.
Two components matter most:
Ψ = ΨS + ΨP
- Solute potential (ΨS, also called osmotic potential) is always zero or negative. Dissolved solutes bind water molecules and lower their freedom to move, so adding solute makes ΨS more negative. A 0.1 M sucrose solution has a solute potential of about −0.23 MPa.
- Pressure potential (ΨP) is the physical pressure on the water. It can be positive, as in the turgor pressure of a living cell pushing its membrane against the wall, or negative, as in the tension that pulls water up through dead xylem cells.
Consider a flaccid cell (ΨP = 0) with ΨS = −0.7 MPa placed in pure water (Ψ = 0). Water enters because 0 is higher than −0.7. As the cell swells, the wall pushes back and ΨP rises until it reaches +0.7 MPa, at which point Ψ inside equals 0 and net movement stops: the cell is turgid. Placed instead in a 0.4 M sucrose solution (about −0.9 MPa), the cell loses water, the protoplast shrinks away from the wall, and the cell undergoes plasmolysis. Wilting is the loss of turgor across many cells. Water crosses membranes faster through aquaporins, channel proteins that change the rate, not the direction, of water movement.
| Location along the pathway | Typical Ψ (MPa) | Main reason |
|---|---|---|
| Moist soil | −0.3 | Dilute solutes; water held on soil particles |
| Root xylem | −0.6 | Tension transmitted from above |
| Trunk xylem (10 m up) | −0.8 | Greater tension |
| Leaf cell walls | −1.0 | Tension at evaporating surfaces |
| Air spaces in leaf | −7.0 | Humid but not saturated air |
| Outside air (50 percent humidity) | about −100 | Dry air strongly attracts water vapor |
Water potential drops steadily from soil to air, with the largest drop between leaf and atmosphere. The sun and dry air supply the energy; the plant spends no ATP lifting water.
Getting water and minerals into the root
Water and dissolved minerals cross the root from the soil to the xylem by three routes. In the apoplastic route, they move through the continuum of cell walls and extracellular spaces without crossing a membrane. In the symplastic route, they cross a plasma membrane once, then move from cell to cell through the cytoplasm via plasmodesmata, cytoplasmic channels that connect neighboring cells. In the transmembrane route, they repeatedly cross membranes, in and out of cell after cell.
The apoplastic route is blocked at the endodermis, the innermost layer of the cortex. Each endodermal cell is ringed by the Casparian strip, a belt of waxy suberin in its radial and transverse walls, which water and dissolved ions cannot pass. Anything traveling in the walls must cross a plasma membrane into an endodermal cell before reaching the vascular cylinder. That gives the plant a checkpoint: membrane transporters decide which ions enter, keeping out many toxins and pathogens and preventing minerals already in the xylem from leaking back out. The Casparian strip works like the tight junctions between epithelial cells in animals.
Mineral uptake is mostly active. Root cells use proton pumps (H+-ATPases) to create a membrane potential; cations such as K+ enter through channels, and anions such as NO3− enter by cotransport with H+. Ions accumulated in the vascular cylinder draw water in by osmosis. At night this can build root pressure, which forces droplets out of leaf margins (guttation) but lifts water only a few meters.
Long-distance transport: the cohesion tension mechanism
Water rises in xylem by bulk flow, the movement of a fluid driven by a pressure difference, here a negative pressure (tension) generated at the leaves. The cohesion tension hypothesis explains it in steps:
- Transpiration, the evaporation of water from leaves, occurs as water vapor diffuses out of the air spaces through stomata into drier air.
- Evaporation from the thin film of water coating mesophyll cell walls makes that film retreat into tiny pores in the wall. Surface tension at the curved air-water interfaces creates a negative pressure (tension) that pulls water from the xylem.
- Cohesion, hydrogen bonding between water molecules, transmits this pull down through an unbroken column of water in the xylem all the way to the roots.
- Adhesion, attraction of water to the hydrophilic walls of tracheids and vessels, helps the column resist gravity and stay attached.
- Tension in root xylem lowers its water potential below that of the soil, so water enters the roots.
An air bubble can break the column, a cavitation event that blocks a vessel; drought and freezing increase the risk. Water detours through pits into neighboring cells, and narrow conifer tracheids resist cavitation better than wide vessels.
Stomata: the compromise between photosynthesis and water loss
A plant must open its stomata to take in carbon dioxide, but every open stoma also loses water. A single corn plant can transpire over 200 liters during a growing season, and more than 90 percent of the water a plant takes up is lost by transpiration. Transpiration also cools leaves by evaporation and drives mineral delivery, so it is not pure waste.
Guard cells take up potassium ions (K+), driven by proton pumps; water follows by osmosis, and radially wrapped cellulose microfibrils make the swelling cells bow apart, opening the pore. When K+ leaves, the cells go limp and the pore closes. Stomata open at dawn in response to blue light, low internal CO2 and an internal circadian clock; abscisic acid (ABA), made during water stress, closes them.
Xerophytes, plants of dry habitats, add thick cuticles, small or rolled leaves, stomata sunk in hairy pits and water-storing stems. CAM plants open stomata only at night, and C4 plants concentrate CO2 so stomata can stay partly closed (Chapter 6).
Phloem transport: the pressure flow model
Translocation is the transport of organic molecules in phloem. Phloem sap is mostly water with up to 30 percent sucrose, plus amino acids, hormones and RNA signals. It flows from a sugar source (mature leaves, or a sprouting tuber breaking down starch) to a sugar sink (roots, buds, growing leaves, fruits, seeds). Phloem can flow up or down, and one organ can be a sink in one season and a source in another.
The pressure flow hypothesis explains phloem movement as bulk flow driven by a positive pressure gradient:
- At the source, sucrose is loaded into sieve-tube elements, often actively by H+/sucrose cotransporters in companion cells, using the proton gradient made by proton pumps.
- High sucrose lowers the water potential in the sieve tube, so water enters from nearby xylem by osmosis, raising the pressure.
- At the sink, sucrose is unloaded, and the water potential rises, so water leaves and the pressure falls.
- The pressure difference between source end and sink end pushes sap along the sieve tube by bulk flow. Water leaving at the sink returns to the xylem and recycles.
Aphid stylets inserted into single sieve tubes keep oozing sap under pressure after the aphid is cut away, supporting the model.
Plant nutrition and soil
A plant builds its body mostly from air and water: about 96 percent of dry mass is carbon, oxygen and hydrogen taken in as CO2 and H2O. Minerals from soil make up the remaining few percent but are just as essential. An element is essential if the plant cannot complete its life cycle without it, which is tested by hydroponic culture, growing plants in solutions that leave out one element at a time. Seventeen elements are essential for most plants. Macronutrients are needed in large amounts; micronutrients in tiny amounts, usually as enzyme cofactors.
| Element (form absorbed) | Class | Main functions | Deficiency sign |
|---|---|---|---|
| Nitrogen (NO3−, NH4+) | Macro, mobile | Proteins, nucleic acids, chlorophyll | Yellowing (chlorosis) of older leaves first |
| Phosphorus (H2PO4−) | Macro, mobile | ATP, nucleic acids, phospholipids | Stunting, purplish older leaves |
| Potassium (K+) | Macro, mobile | Osmotic balance, stomatal opening, enzyme activation | Scorched, curled margins of older leaves |
| Calcium (Ca2+) | Macro, immobile | Cell wall structure, membranes, signaling | Damaged young tips; blossom end rot of tomato |
| Magnesium (Mg2+) | Macro, mobile | Center of the chlorophyll molecule; enzyme cofactor | Chlorosis between veins of older leaves |
| Sulfur (SO42−) | Macro | Cysteine, methionine, coenzymes | General chlorosis of young leaves |
| Iron (Fe2+/Fe3+) | Micro, immobile | Cytochromes, chlorophyll synthesis | Chlorosis between veins of young leaves |
| Others: Cl, Mn, B, Zn, Cu, Ni, Mo | Micro | Cofactors (for example, Mo in nitrogenase and nitrate reductase) | Varies |
Where deficiency symptoms appear first is diagnostic. Mobile nutrients such as N, P, K and Mg can be moved out of older leaves to supply young growth, so older leaves show symptoms first. Immobile nutrients such as Ca and Fe are locked in place, so the youngest leaves suffer first. Fertilizer bags list three numbers, the N-P-K ratio, because nitrogen, phosphorus and potassium are the nutrients most often in short supply.
Soil is a mix of sand, silt and clay particles, humus (decomposing organic matter), water, air and organisms; loam, a roughly even mix, holds water and air well. Negatively charged clay and humus bind cations such as K+, Ca2+ and Mg2+. Roots release H+, which displaces those cations into soil water for uptake, a process called cation exchange. Anions such as nitrate are not held and leach away easily.
Help from other organisms
Plants cannot use atmospheric N2. Nitrogen fixation, the reduction of N2 to ammonia by the enzyme nitrogenase (about 16 ATP per N2), is done only by certain prokaryotes. Legumes form root nodules housing Rhizobium bacteria: the plant supplies sugar, the bacteria supply fixed nitrogen. Nodule leghemoglobin binds O2 and keeps free oxygen low, protecting the oxygen-sensitive nitrogenase. Farmers rotate legumes with other crops to restore soil nitrogen.
Mycorrhizae are mutualisms between fungi and the roots of about 90 percent of plant species. Hyphae extend the absorbing surface, especially for phosphate, in exchange for sugar. Ectomycorrhizae sheath the root and grow between cortex cells (conifers, oaks); arbuscular mycorrhizae penetrate root cell walls to form branched arbuscules and are the most common type. Parasitic plants such as dodder tap host vascular tissue, and carnivorous plants of nitrogen-poor bogs digest insects.
Water moves down a water potential gradient (Ψ = ΨS + ΨP) from soil to air. It crosses the root by apoplastic and symplastic routes, is screened at the Casparian strip, and is pulled up the xylem by transpiration through cohesion and adhesion; guard cells balance CO2 uptake against water loss. Sugar moves in living phloem by pressure flow from source to sink. Plants need 17 essential elements and rely on soil cation exchange, nitrogen-fixing bacteria and mycorrhizal fungi to get them.
Section 4Flowers, fertilization, seeds and fruit
The structure of a flower
A flower is a compressed shoot whose modified leaves, called floral organs, are attached in four whorls to a stem tip called the receptacle. From the outside in, the whorls are the sepals, the petals, the stamens and the carpels. Sepals and petals are sterile; stamens and carpels make spores and so are the reproductive organs. Each stamen has a stalk, the filament, topped by an anther containing microsporangia (pollen sacs). Each carpel has a sticky stigma that receives pollen, a style leading down to the ovary, and one or more ovules inside the ovary.
Botanists use a few precise terms to describe flowers. A complete flower has all four whorls; an incomplete flower lacks one or more (many wind-pollinated grasses lack petals). A perfect flower (bisexual) has both stamens and carpels; an imperfect flower (unisexual) has only one. A species with separate staminate and carpellate flowers on the same individual, such as corn, is monoecious ("one house"); a species with them on separate individuals, such as holly, willow and date palm, is dioecious ("two houses"). Only female holly plants make berries.
| Whorl | Collective name | Parts | Function |
|---|---|---|---|
| 1 (outermost) | Calyx | Sepals | Enclose and protect the flower bud |
| 2 | Corolla | Petals | Attract pollinators with color, scent and nectar guides |
| 3 | Androecium | Stamens (filament and anther) | Produce microspores, which become pollen grains |
| 4 (innermost) | Gynoecium | Carpels (stigma, style, ovary with ovules) | Produce megaspores, house the female gametophyte, become fruit |
Making the gametophytes
In each anther, diploid microsporocytes divide by meiosis to form four haploid microspores. Each microspore divides once by mitosis to form a pollen grain, an immature male gametophyte of just two cells: a large tube cell and a small generative cell inside it, all wrapped in a sculptured sporopollenin wall. The generative cell later divides by mitosis to form two sperm cells, either before pollen is released or as the pollen tube grows.
In each ovule, a diploid megasporocyte divides by meiosis into four megaspores, and usually three die. The survivor's nucleus divides by mitosis three times, giving eight haploid nuclei in a seven-celled embryo sac, the female gametophyte. Near the micropyle (the opening in the integuments) lie the egg and two synergids; at the far end are three antipodal cells; in the middle, a large central cell holds two polar nuclei.
Pollination
Pollination is the transfer of pollen from anther to stigma. About 80 percent of angiosperm pollination depends on animals and most of the rest on wind. Wind-pollinated flowers (grasses, oaks, ragweed) are small and drab and release vast amounts of light pollen. Animal-pollinated flowers match their pollinators: bee flowers are blue or yellow with ultraviolet nectar guides, hummingbird flowers are red, tubular and unscented, and bat and moth flowers are pale, night-opening and fragrant. Such reciprocal fitting is coevolution.
Many plants avoid self-fertilization, which reduces genetic variation. Some separate male and female flowers or have stamens and carpels mature at different times. Many have self-incompatibility: a plant rejects its own pollen by a self-recognition system controlled by S-genes. If a pollen grain carries an S-allele matching one in the stigma, the pollen fails to germinate or its tube stops growing. Other species, such as peas and wheat, routinely self-pollinate, which guarantees seed even without a pollinator.
Double fertilization
After a compatible pollen grain lands on a stigma, it absorbs water and germinates, and the tube cell grows a pollen tube down through the style. The tube is guided by chemical signals from the synergids, enters the ovule through the micropyle and discharges its two sperm into the embryo sac. Then comes the event unique to angiosperms, double fertilization:
- One sperm fuses with the egg, forming a diploid zygote (2n), which will become the embryo.
- The other sperm fuses with the two polar nuclei in the central cell, forming a triploid (3n) cell that becomes the endosperm, the food-storing tissue of the seed.
Double fertilization synchronizes food storage with embryo formation: the plant invests in endosperm only if an egg has been fertilized, so it does not waste resources on ovules that would never form seeds. The synergids, antipodals and other leftover cells degenerate. By contrast, in gymnosperms the female gametophyte itself stores food before fertilization, and it is haploid, not triploid.
From ovule to seed
After fertilization, each ovule becomes a seed and the ovary becomes a fruit. The endosperm develops first (coconut "milk" is liquid endosperm). The zygote divides to form the embryo and a suspensor that anchors it and feeds it from the parent.
A eudicot embryo, such as a bean, has two cotyledons (seed leaves) on an embryonic axis. Above their attachment is the epicotyl, ending in the shoot tip and first leaves (the plumule); below is the hypocotyl, ending in the embryonic root, the radicle. Bean cotyledons absorb most of the endosperm during development. In a monocot such as corn, the endosperm stays large and the single cotyledon, the scutellum, absorbs it during germination; sheaths called the coleoptile and coleorhiza protect the young shoot and root. The seed coat forms from the integuments.
Many seeds enter dormancy, a state of arrested growth broken by cues such as moisture, cold, light or fire. Germination begins with imbibition, the uptake of water, which ruptures the seed coat and restarts metabolism. In cereal grains, the embryo releases gibberellin, which signals the aleurone layer to secrete α-amylase that digests endosperm starch into sugar. The radicle emerges first; in beans a hypocotyl hook pushes through the soil, while in corn the coleoptile pushes straight up.
Fruits and seed dispersal
A fruit is a mature ovary, sometimes with other flower parts. As seeds develop, hormones from them cause the ovary wall to thicken into the pericarp, which may become fleshy (tomato, grape, peach) or dry (bean pod, nut, grain). In botanical terms, tomatoes, cucumbers, peppers, pea pods and grains of corn are all fruits. Fruits are classified by how many flowers and carpels they come from.
| Fruit type | Develops from | Examples |
|---|---|---|
| Simple | One carpel or several fused carpels of one flower | Cherry, pea pod, tomato, grape, acorn |
| Aggregate | Many separate carpels of one flower | Raspberry, blackberry |
| Multiple | The carpels of many flowers in a cluster (inflorescence) fused together | Pineapple, mulberry, fig |
| Accessory | Mostly tissue other than the ovary, such as the receptacle | Apple and pear (flesh is mostly receptacle); strawberry (flesh is receptacle, the "seeds" are tiny dry fruits) |
Fruits protect seeds and help them disperse. Wind carries maple and dandelion fruits, water carries coconuts, and animals eat fleshy fruits and pass the seeds or carry hooked fruits in their fur. Fleshy fruits ripen from green and sour to colorful and sweet when the seeds are ready.
Asexual reproduction
Plants also reproduce asexually. In vegetative reproduction, clones grow from stolons, tubers or roots; apomixis produces seeds without fertilization (dandelions); and growers use cuttings, grafting and tissue culture. Clones preserve a good genotype but are uniformly vulnerable to disease.
A flower has sepals, petals, stamens and carpels. Anthers make pollen (male gametophytes of a tube cell and generative cell); ovules make a seven-celled, eight-nucleus embryo sac (female gametophyte). After pollination, a pollen tube delivers two sperm: one fertilizes the egg to form the 2n zygote and the other fuses with the polar nuclei to form 3n endosperm. Ovules become seeds, ovaries become fruits, and fruits disperse seeds by wind, water and animals.
Section 5Plant hormones and responses to the environment
Signal transduction in plants
Plants respond to their surroundings by changing growth and chemistry, using a three-step pathway: reception by a receptor, transduction through second messengers such as Ca2+ and cyclic GMP, and a response, usually altered gene expression. A potato sprouting in the dark shows etiolation (pale, spindly shoots); light sensed by phytochrome triggers de-etiolation, or greening.
Plant hormones
Plant hormones are signaling molecules made in small amounts that coordinate growth and responses. Each has many effects, and outcomes usually depend on the balance between hormones and on the target tissue.
| Hormone | Where made | Major effects |
|---|---|---|
| Auxin (IAA) | Shoot apical meristems, young leaves | Cell elongation in stems; phototropism and gravitropism; apical dominance; root initiation on cuttings; fruit development; vascular differentiation |
| Cytokinins | Mainly roots | Cell division (with auxin); release axillary buds; delay leaf aging (senescence) |
| Gibberellins | Young leaves, roots, seed embryos | Stem elongation; bolting; seed germination (amylase from aleurone); fruit growth |
| Abscisic acid (ABA) | Leaves, roots, seeds | Closes stomata in drought; keeps seeds dormant; promotes stress tolerance |
| Ethylene (a gas) | Most tissues, especially ripening fruit and stressed tissue | Fruit ripening; leaf abscission; triple response of seedlings; senescence; response to flooding |
| Brassinosteroids | Most tissues | Cell elongation and division; xylem differentiation (steroid relatives of animal sex hormones) |
| Jasmonates | Wounded tissues | Defense against herbivores; production of toxic and volatile compounds |
| Strigolactones | Roots | Suppress branching (apical dominance); attract mycorrhizal fungi |
Auxin (indoleacetic acid, IAA) was discovered through phototropism, growth toward light. Charles and Francis Darwin found that grass coleoptiles bend toward light only if the tip is present, so the tip sends a signal downward. Frits Went later collected that chemical in agar blocks, which made decapitated coleoptiles bend in darkness. Auxin moves by polar transport from shoot tip toward base through PIN efflux carriers, and one-sided light shifts it to the shaded side.
Auxin stimulates elongation by the acid growth hypothesis: it activates proton pumps that acidify the cell wall, activating proteins called expansins that loosen cellulose fibers. The turgid cell then takes up water and stretches. Synthetic auxins have many uses: they promote rooting of cuttings, and the auxin mimic 2,4-D is a selective herbicide that kills broadleaf eudicot weeds by overstimulating their growth while sparing monocot lawns and grain crops.
Apical dominance shows hormone balance at work. Auxin from the apical bud, together with strigolactones, inhibits axillary buds, while cytokinins from the roots promote their growth. Pinching off the shoot tip removes the auxin source, and the buds below grow into branches, which is why gardeners prune to make bushier plants. Gibberellins cause dramatic stem elongation: the tall height of many crops depends on them, and the dwarf wheat and rice varieties of the Green Revolution carry mutations in gibberellin signaling that put energy into grain instead of stalk. Growers spray gibberellins on seedless grapes to make larger fruit on longer stalks.
Ethylene is a gas, and ripening is driven by positive feedback (ethylene stimulates more ethylene), so one ripe fruit speeds ripening of its neighbors. A seedling blocked by a stone shows the triple response: slower elongation, a thicker stem and sideways growth. In autumn, a falling auxin to ethylene ratio activates the abscission layer and leaves drop. Abscisic acid is the stress hormone: it closes stomata in drought and maintains seed dormancy.
Responses to light
Plants detect the color, direction, intensity and duration of light. Blue light photoreceptors, including phototropins and cryptochromes, control phototropism, stomatal opening and the slowing of stem elongation as a seedling emerges into light. Phytochromes absorb mainly red and far-red light. A phytochrome exists in two interconvertible forms: Pr absorbs red light (about 660 nm) and is converted to Pfr, the active form; Pfr absorbs far-red light (about 730 nm) and is converted back to Pr. Pfr also slowly reverts to Pr in darkness. Sunlight contains both wavelengths, but leaves absorb red light, so the light under a canopy is enriched in far-red. A seedling in shade therefore has a low Pfr to Pr ratio and responds by elongating its stem, a strategy called shade avoidance. Small seeds such as lettuce germinate only after a flash of red light; if a far-red flash follows, they stay dormant. The last flash wins.
Many plant activities follow circadian rhythms, cycles of about 24 hours driven by an internal clock that persist even in constant conditions. Phytochromes and cryptochromes reset the clock to the actual day each morning. Photoperiodism is a response to the relative lengths of night and day, and it controls flowering in many species. Researchers named the categories by day length, but plants actually measure the length of uninterrupted darkness.
| Category | Flowers when | Examples | A brief light flash in the middle of the night |
|---|---|---|---|
| Short-day (long-night) plant | Night is longer than a critical length | Chrysanthemum, poinsettia, soybean | Prevents flowering (breaks the long night) |
| Long-day (short-night) plant | Night is shorter than a critical length | Spinach, iris, many cereals | Triggers flowering |
| Day-neutral plant | Regardless of photoperiod, once mature | Tomato, rice, dandelion | No effect |
Red flashes interrupt the night effectively and a far-red flash afterward cancels the effect, which shows that phytochrome is the photoperiod sensor. Leaves detect the photoperiod, but flowers form at the shoot apex, so a signal must travel. This mobile signal, long called florigen, is a protein called FLOWERING LOCUS T (FT), made in leaves and carried through phloem to the apical meristem. Some plants also need a period of cold before they can flower, called vernalization; winter wheat planted in autumn flowers in spring for this reason.
Responses to gravity, touch and stress
A tropism is growth toward or away from a stimulus. In gravitropism, roots grow downward (positive) and shoots grow upward (negative). Plants sense gravity with statoliths, dense starch-filled plastids (amyloplasts) that settle to the low side of cells in the root cap and in stem tissue. Their settling redistributes auxin to the lower side. In shoots, more auxin on the lower side speeds elongation there and bends the shoot up; in roots, which are far more sensitive to auxin, the same high concentration inhibits elongation on the lower side and bends the root down.
In thigmotropism, growth responds to touch, as when a tendril coils around a support, and repeated wind produces short, stocky stems (thigmomorphogenesis). Touching the sensitive plant Mimosa sends an action potential through the leaf; motor cells lose K+ and water and the leaflets fold within seconds.
In drought, ABA closes stomata and roots grow deeper. In flooding, ethylene triggers cell death in the root cortex, forming air channels (aerenchyma). Under salt stress, cells accumulate solutes to keep water potential low. Heat induces heat shock proteins that help other proteins keep their shape, and cold acclimation adds unsaturated fatty acids that keep membranes fluid.
Defense against herbivores and pathogens
Against herbivores, plants use thorns and trichomes, toxins such as nicotine and tannins, and calls for help: caterpillar-damaged corn releases volatiles that attract parasitoid wasps, often via the jasmonate pathway.
Against pathogens, plants have two immune layers. In PAMP-triggered immunity, receptors recognize molecules common to classes of microbes, such as bacterial flagellin. Pathogens whose effectors suppress this meet effector-triggered immunity: plant R genes encode receptors for specific effectors (the gene-for-gene relationship). Recognition triggers the hypersensitive response, in which cells around the infection die and wall it off, and salicylic acid signaling then sets up systemic acquired resistance throughout the plant.
Plants respond to their surroundings through hormones and photoreceptors. Auxin drives elongation, tropisms and apical dominance; cytokinins drive division; gibberellins drive stem growth and germination; ABA handles stress and dormancy; ethylene drives ripening and abscission. Phytochromes (red and far-red) and blue light receptors measure light for germination, shade avoidance, circadian clocks and photoperiodic flowering. Statoliths sense gravity, and layered immune responses fight herbivores and pathogens.
The chapter in one breath
- Land plants evolved from charophyte green algae and share embryos, walled spores, gametangia, apical meristems and a cuticle.
- All land plants show alternation of generations: sporophytes make spores by meiosis, gametophytes make gametes by mitosis.
- The gametophyte dominates in bryophytes; the sporophyte dominates in ferns and seed plants, where gametophytes are microscopic.
- Lignified vascular tissue, then seeds and pollen, then flowers and fruit freed plants from wet habitats and water-dependent fertilization.
- Roots, stems and leaves are built from dermal, vascular and ground tissue; apical meristems lengthen and the vascular and cork cambia thicken.
- Water moves toward lower water potential, crosses the endodermis at the Casparian strip, and is pulled up the xylem by transpiration, cohesion and adhesion.
- Guard cells open stomata by taking up K+; ABA closes them during drought.
- Sugar moves in living phloem from source to sink by pressure flow.
- Plants need 17 essential elements and gain nitrogen and phosphate with help from Rhizobium nodules and mycorrhizae.
- Double fertilization forms a 2n zygote and 3n endosperm; ovules become seeds and ovaries become fruits.
- Auxin, cytokinins, gibberellins, ABA and ethylene coordinate growth, while phytochrome and blue light receptors time germination, shade avoidance and flowering.
Words worth knowing
| Term | What it means |
|---|---|
| Alternation of generations | A life cycle alternating between a multicellular haploid gametophyte and a multicellular diploid sporophyte. |
| Gametophyte | The haploid generation, which makes gametes by mitosis. |
| Sporophyte | The diploid generation, which makes spores by meiosis. |
| Bryophytes | Nonvascular land plants: liverworts, mosses and hornworts. |
| Lignin | A rigid polymer that strengthens xylem and other secondary cell walls. |
| Ovule | A megasporangium wrapped in integuments; it becomes a seed after fertilization. |
| Meristem | Undifferentiated, dividing tissue that allows growth throughout a plant's life. |
| Vascular cambium | A lateral meristem that makes secondary xylem inward and secondary phloem outward. |
| Periderm | Cork cambium and cork, the protective layer that replaces the epidermis in woody parts. |
| Vessel element | A wide, dead, perforated xylem cell typical of angiosperms. |
| Sieve-tube element | A living phloem cell without a nucleus that conducts sugar, served by a companion cell. |
| Water potential | The potential energy of water relative to pure water; water flows toward lower values. |
| Casparian strip | A suberin band in endodermal walls that blocks apoplastic flow into the vascular cylinder. |
| Transpiration | Evaporation of water from leaves, chiefly through stomata. |
| Cohesion tension | The mechanism by which transpiration pulls a cohesive water column up the xylem. |
| Guard cells | Paired cells that open and close a stoma by changing turgor. |
| Pressure flow | Bulk flow of phloem sap driven by a pressure gradient from sugar source to sugar sink. |
| Mycorrhizae | Mutualistic fungus and root associations that improve mineral uptake. |
| Nitrogen fixation | Conversion of N2 to ammonia by prokaryotic nitrogenase. |
| Carpel | The female floral organ: stigma, style and ovary. |
| Embryo sac | The seven-celled, eight-nucleus female gametophyte of angiosperms. |
| Double fertilization | One sperm fertilizes the egg and the other joins the polar nuclei to form endosperm. |
| Endosperm | Triploid food-storing tissue of angiosperm seeds. |
| Fruit | A mature ovary, sometimes with other flower parts, that protects and disperses seeds. |
| Auxin | A hormone that promotes cell elongation and drives tropisms and apical dominance. |
| Abscisic acid | A stress hormone that closes stomata and maintains seed dormancy. |
| Phytochrome | A red and far-red light receptor that switches between Pr and active Pfr. |
| Photoperiodism | A response, such as flowering, to the length of night. |
| Gravitropism | Growth in response to gravity, sensed by settling statoliths. |
Check yourself
Animal Diversity
From sponges that filter seawater through their pores to whales, beetles and the person reading this sentence, animals display an astonishing range of form. Yet that variety is built on a handful of body plans, laid down more than 500 million years ago and modified ever since. This chapter gives you a map of the animal kingdom: the features biologists use to sort animals, the major invertebrate groups, and the vertebrate story from jawless fishes to the evolution of our own species.
By the end of this chapter you can
- List the traits shared by animals and describe early embryonic development through gastrulation.
- Classify body plans by symmetry, germ layers and body cavity, and contrast protostome and deuterostome development.
- Sketch the animal tree, placing sponges, cnidarians, Lophotrochozoa, Ecdysozoa and Deuterostomia.
- Describe the key features of sponges, cnidarians, flatworms, molluscs, annelids, nematodes and arthropods.
- Explain the water vascular system of echinoderms and the four defining traits of chordates.
- Trace vertebrate innovations: cranium, vertebrae, jaws, bone, lobed fins, limbs, the amniotic egg and feathers.
- Compare fishes, amphibians, reptiles (including birds) and mammals.
- Describe primate traits and outline hominin evolution from early bipeds to Homo sapiens.
Section 1Animal body plans and the animal tree of life
What is an animal?
Animals (kingdom Animalia, or Metazoa) are multicellular, heterotrophic eukaryotes that take in food by ingestion and digest it inside their bodies. Their cells lack cell walls; instead, proteins of the extracellular matrix, especially collagen, hold the body together, and specialized junctions (tight junctions, desmosomes and gap junctions) link neighboring cells. Two tissue types are unique to animals: nervous tissue, which carries impulses, and muscle tissue, which moves the body. Most animals reproduce sexually, and the diploid stage dominates the life cycle; the only haploid cells are eggs and sperm.
Animal development follows a common sequence. The zygote undergoes cleavage, rapid mitotic divisions without growth, forming a solid ball and then a hollow blastula. During gastrulation, one side of the blastula folds inward, forming a two-layered or three-layered gastrula with an inner pocket, the archenteron, that becomes the gut. The opening of the archenteron is the blastopore. Many animals pass through a sexually immature larva that later undergoes metamorphosis into the adult form. All animals share a family of developmental control genes, the Hox genes, that specify position along the head to tail axis. Variation in how Hox genes are deployed underlies much of the variety of animal body plans.
The closest living relatives of animals are the choanoflagellates, single-celled or colonial protists whose collar of microvilli around a flagellum is strikingly similar to the collar cells of sponges. The first animals probably appeared about 770 to 800 million years ago. Soft-bodied Ediacaran fossils date from about 635 to 541 million years ago, and during the Cambrian explosion, roughly 535 to 525 million years ago, most major animal phyla appear in the fossil record within a few million years, along with the first hard skeletons, predators and burrows.
Symmetry and tissues
Biologists sort animal body plans by a few features. Tissues: sponges lack true tissues, collections of specialized cells isolated from other tissues by membranous layers, while all other animals, the eumetazoans, have them. Symmetry: some animals are asymmetrical (most sponges). Radial symmetry means any cut through the central axis produces mirror halves, like a pie; radial animals (cnidarians, ctenophores) have a top and bottom but no front, back, left or right, suiting a sessile or drifting life in which food and danger can come from any direction. Bilateral symmetry means only one plane divides the body into mirror halves; bilateral animals have dorsal and ventral sides, left and right sides, and anterior and posterior ends. Bilateral symmetry goes with active, directional movement and with cephalization, the concentration of sense organs and nervous tissue in a head.
Germ layers and body cavities
Gastrulation produces the germ layers from which all tissues develop. Ectoderm, the outer layer, forms the epidermis and the nervous system. Endoderm, the inner layer, lines the digestive tract and forms organs such as the liver and lungs of vertebrates. Cnidarians and ctenophores have only these two layers and are diploblastic. Bilateral animals are triploblastic: they add a middle layer, mesoderm, which forms muscles, most organs, the circulatory system and, in vertebrates, the skeleton.
Triploblastic animals can be grouped by their body cavity, a fluid-filled space between the gut and the outer body wall. A body cavity cushions organs, lets the gut move independently of the body wall, and can act as a hydrostatic skeleton that muscles push against. An animal with a true coelom (a coelomate) has a cavity completely lined by mesoderm, with mesoderm-derived mesenteries suspending the organs. A pseudocoelomate has a cavity lined by mesoderm on the outside and endoderm on the inside. An acoelomate, such as a flatworm, has solid tissue between gut and body wall. Molecular evidence shows that coeloms and pseudocoeloms were gained and lost more than once, so body cavity type describes anatomy but is not a reliable guide to relationships.
Protostome and deuterostome development
Bilateral animals fall into two great developmental modes, named for the fate of the blastopore. In protostomes ("mouth first"), the blastopore usually becomes the mouth. In deuterostomes ("mouth second"), it becomes the anus, and the mouth forms later at the other end. The two modes also tend to differ in cleavage and in how the coelom forms.
| Feature | Protostome development | Deuterostome development |
|---|---|---|
| Cleavage | Spiral: cell planes are diagonal, so upper cells sit in the grooves of lower cells | Radial: cell planes are parallel or perpendicular to the vertical axis, so tiers line up |
| Cell fate | Determinate: each early cell's fate is fixed; a separated cell cannot form a whole embryo | Indeterminate: each early cell can form a complete embryo (the basis of identical twins and embryonic stem cells) |
| Coelom formation | Solid masses of mesoderm split open (schizocoelous) | Mesoderm buds from the archenteron wall (enterocoelous) |
| Blastopore becomes | Mouth | Anus |
| Examples | Molluscs, annelids, arthropods, nematodes, flatworms | Echinoderms, hemichordates, chordates |
The animal tree of life
Modern animal phylogeny rests mainly on DNA sequences, which have confirmed some traditional groups and overturned others. The broad picture: sponges (Porifera) branch near the base, together with the comb jellies (Ctenophora), whose exact position is still debated. Cnidarians are the sister group of the Bilateria. Bilaterians split into protostomes and deuterostomes, and protostomes split into two large clades. Lophotrochozoa includes animals with a lophophore (a crown of ciliated tentacles for feeding, as in ectoprocts and brachiopods) or a trochophore larva (as in many molluscs and annelids), along with flatworms and rotifers. Ecdysozoa includes animals that grow by molting a cuticle, a process called ecdysis: nematodes and arthropods. Ecdysozoans are the most species-rich animals on Earth. Deuterostomia includes echinoderms, hemichordates and chordates.
Animals are multicellular heterotrophs without cell walls that develop through cleavage, a blastula and gastrulation, guided by Hox genes. Body plans are described by tissues, symmetry, germ layers and body cavity, and bilaterians develop as protostomes or deuterostomes. DNA places sponges and ctenophores near the base, cnidarians next, and divides bilaterians into Lophotrochozoa, Ecdysozoa and Deuterostomia.
Section 2Invertebrates: sponges to arthropods
Invertebrates, animals without a backbone, make up about 95 percent of known animal species. "Invertebrate" is a convenient label, not a clade: it lumps together everything except the vertebrates. This section surveys the major phyla in roughly the order they branch on the tree.
Sponges
Sponges (phylum Porifera, "pore bearers") are sessile suspension feeders without true tissues, organs or a nervous system. Water enters through many small pores, flows into a central cavity, the spongocoel, and leaves through a larger opening, the osculum. Flagellated choanocytes (collar cells) line the interior; their beating flagella drive the current, and their collars trap bacteria and food particles, which are then engulfed by phagocytosis. In the gelatinous middle layer, the mesohyl, wandering amoebocytes digest and distribute food and build the skeleton of spicules (made of calcium carbonate or silica) or of flexible collagen fibers called spongin. Most sponges are hermaphrodites, each individual producing both eggs and sperm, usually at different times. Sponges also make unusual antibiotic and anticancer compounds that are studied as drug leads.
Cnidarians
Cnidarians (corals, sea anemones, hydras and jellyfish) are diploblastic and radially symmetrical. Their body plan is a sac with a central gastrovascular cavity and a single opening that serves as both mouth and anus, ringed by tentacles. The body wall has an outer epidermis and an inner gastrodermis separated by a jellylike mesoglea. Cnidarians come in two body forms: the cylindrical, usually attached polyp (mouth facing up) and the bell-shaped, free-swimming medusa (mouth facing down). Some species have only one form; others alternate between them. Their hallmark is the cnidocyte, a stinging cell containing a capsule called a cnida; the type that injects venom is a nematocyst. Cnidarians have a nerve net without a brain and move by contracting cells against the water in the gastrovascular cavity, which serves as a hydrostatic skeleton.
The four main cnidarian classes differ in which body form dominates. Hydrozoans (hydras, Portuguese man-of-war) usually alternate polyp and medusa, with the polyp often dominant. Scyphozoans (true jellyfish) spend most of their lives as medusae. Cubozoans (box jellies) have boxlike medusae, complex eyes and some of the most dangerous venoms known. Anthozoans (sea anemones and corals) exist only as polyps. Reef-building corals secrete calcium carbonate skeletons and host photosynthetic dinoflagellate symbionts; when stressed by high water temperature, corals expel these symbionts and turn white, a process called coral bleaching.
Lophotrochozoans: flatworms, rotifers, molluscs and annelids
Flatworms (phylum Platyhelminthes) are triploblastic acoelomates flattened from top to bottom. Their thinness lets every cell exchange gases by diffusion, so they lack respiratory and circulatory organs. The gastrovascular cavity has one opening. Excretion and water balance rely on protonephridia with ciliated flame cells. Free-living planarians have a simple brain, ventral nerve cords and light-sensing eyespots, and can regenerate a whole body from a fragment. Many flatworms are parasites: flukes (trematodes), such as the blood flukes that cause schistosomiasis in hundreds of millions of people, often cycle through a snail intermediate host; tapeworms (cestodes) attach to the intestine with a hooked scolex, lack a mouth or gut, absorb digested food across their body surface and shed egg-filled segments called proglottids.
Rotifers are tiny pseudocoelomates with a crown of cilia that sweeps food into a complete digestive tract with mouth and anus. Some groups reproduce entirely by parthenogenesis, development of unfertilized eggs. Lophophorates, including ectoprocts (moss animals) and brachiopods (lamp shells, which resemble clams but are unrelated), feed with a lophophore.
Molluscs (snails, slugs, clams, oysters, octopuses and squids) are soft-bodied coelomates, most protected by a calcium carbonate shell. All share a body plan with three main parts: a muscular foot for movement, a visceral mass holding most internal organs, and a mantle, a fold of tissue that drapes over the visceral mass and secretes the shell. The mantle encloses a mantle cavity housing the gills, anus and excretory pores. Many molluscs feed with a radula, a rasping, tooth-covered strap. Gastropods (snails and slugs, the largest class) undergo torsion during development, a 180-degree twist that brings the mantle cavity and anus above the head. Bivalves (clams, mussels, oysters, scallops) have a hinged two-part shell, no distinct head and no radula, and filter feed with their gills. Cephalopods (squids, octopuses, cuttlefishes, nautiluses) are fast predators whose foot is modified into tentacles and a siphon for jet propulsion. They have a beak, a closed circulatory system, camera-type eyes and the largest brains of any invertebrate.
Annelids ("little rings") are segmented worms with a true coelom divided by partitions. Segmentation lets each segment's muscles act on its own fluid-filled compartment, allowing precise, wavelike movement. Earthworms have a closed circulatory system with five pairs of muscular vessels that act as hearts, paired excretory metanephridia in each segment, a ventral nerve cord with segmental ganglia, and a digestive tract with a crop and gizzard. Earthworms are hermaphrodites that exchange sperm, and their burrowing aerates and enriches soil. Traditional annelid groups include the mostly marine polychaetes, with paddle-like parapodia bearing bristles, and the leeches, some of which feed on blood and secrete the anticoagulant hirudin.
Ecdysozoans: nematodes and arthropods
Nematodes (roundworms) are unsegmented, cylindrical pseudocoelomates covered by a tough cuticle that they shed as they grow. They have a complete digestive tract and only longitudinal muscles, which produce a thrashing motion. Nematodes are found almost everywhere, in soil, water and inside other organisms, often in enormous numbers. Caenorhabditis elegans, a free-living soil nematode with exactly 959 somatic cells in the adult hermaphrodite, is a key model organism for development and aging. Parasitic nematodes include hookworms, pinworms and Trichinella spiralis, which encysts in muscle and is acquired from undercooked pork or game.
Arthropods ("jointed feet") are the most successful animals on Earth, with over a million described species. Their success rests on a segmented body with specialized regions (tagmata, such as head, thorax and abdomen), a hard exoskeleton made of protein and the polysaccharide chitin, and jointed appendages modified for walking, feeding, sensing, swimming and mating. Because the exoskeleton cannot grow, arthropods must molt, shedding it and secreting a larger one, a vulnerable process controlled by the hormone ecdysone. Arthropods have an open circulatory system in which a heart pumps hemolymph into sinuses that bathe the organs (the cavity is called a hemocoel). Aquatic species breathe with gills; insects use tracheal systems, branched air tubes that deliver oxygen directly to cells.
| Arthropod lineage | Body regions | Appendages | Examples and notes |
|---|---|---|---|
| Chelicerates | Cephalothorax and abdomen | Clawlike chelicerae for feeding, pedipalps, four pairs of walking legs; no antennae | Spiders, scorpions, ticks, mites, horseshoe crabs; spiders breathe with book lungs and spin silk |
| Myriapods | Head and many trunk segments | One pair of antennae; millipedes two pairs of legs per segment, centipedes one pair | Millipedes eat decaying plants; centipedes are venomous predators |
| Crustaceans | Often cephalothorax and abdomen | Two pairs of antennae, many specialized appendages | Crabs, lobsters, shrimps, barnacles, krill, isopods; mostly aquatic with gills |
| Hexapods (insects) | Head, thorax, abdomen | One pair of antennae, three pairs of legs, usually two pairs of wings on the thorax | Beetles, flies, bees, butterflies; more species than all other animals combined |
Insects owe much of their diversity to flight, which opened new habitats and escape routes, and to metamorphosis. In incomplete metamorphosis (grasshoppers, cockroaches), young nymphs look like small adults and change gradually through a series of molts. In complete metamorphosis (beetles, flies, butterflies, bees), a wormlike larva specialized for eating and growing transforms during a pupa stage into an adult specialized for dispersal and reproduction. Because larva and adult often eat different foods, they do not compete with each other. Insects pollinate most flowering plants, recycle dead matter and transmit diseases such as malaria (Anopheles mosquitoes).
| Phylum | Symmetry | Germ layers | Body cavity | Gut | Signature feature |
|---|---|---|---|---|---|
| Porifera | None (mostly) | No true tissues | None | None | Choanocytes, spicules |
| Cnidaria | Radial | Two | None | One opening | Cnidocytes; polyp and medusa |
| Platyhelminthes | Bilateral | Three | Acoelomate | One opening | Flat body, flame cells |
| Mollusca | Bilateral | Three | Coelomate (reduced) | Complete | Foot, visceral mass, mantle, radula |
| Annelida | Bilateral | Three | Coelomate | Complete | Segmented body |
| Nematoda | Bilateral | Three | Pseudocoelomate | Complete | Cuticle, molting, longitudinal muscle only |
| Arthropoda | Bilateral | Three | Coelom reduced; hemocoel | Complete | Chitin exoskeleton, jointed appendages |
Sponges filter feed with choanocytes and lack tissues. Cnidarians are radial and diploblastic, with polyp and medusa forms and stinging cnidocytes. Lophotrochozoans include flatworms (acoelomate, often parasitic), molluscs (foot, visceral mass, mantle) and segmented annelids. Ecdysozoans molt: nematodes have a cuticle and pseudocoelom, and arthropods, the most diverse animals, have chitin exoskeletons, jointed appendages and open circulation.
Section 3Echinoderms and chordates
Echinoderms
Echinoderms ("spiny skin") are slow-moving or sessile marine deuterostomes: sea stars, brittle stars, sea urchins, sand dollars, sea cucumbers and sea lilies. Adults are usually pentaradial, with body parts arranged in fives around a central axis, but their larvae are bilaterally symmetrical, which shows that echinoderms descend from bilateral ancestors and became radial secondarily. Beneath a thin skin lies an endoskeleton of hard calcium carbonate plates called ossicles, often bearing spines.
The defining echinoderm feature is the water vascular system, a network of hydraulic canals that branch into extensions called tube feet. Water enters through a sieve plate on the upper surface, the madreporite, and flows through a ring canal into radial canals in each arm. Each tube foot has a muscular bulb, the ampulla, at its base; when the ampulla contracts, water extends the foot, which grips the substrate by suction and adhesive chemicals. Thousands of coordinated tube feet let a sea star creep along and pry open a clam. A sea star then everts its stomach through its mouth into the clam's shell and digests the prey in place. Tube feet also function in gas exchange. Echinoderms lack a centralized brain, and many can regenerate lost arms.
| Echinoderm group | Body form | Feeding | Examples |
|---|---|---|---|
| Asteroidea | Star with five or more arms broadly joined to a central disk | Predators of bivalves; everted stomach | Sea stars |
| Ophiuroidea | Thin, flexible arms sharply set off from the disk | Scavengers, suspension feeders | Brittle stars |
| Echinoidea | Spherical or flattened, no arms, movable spines | Grazers with a five-jawed chewing apparatus | Sea urchins, sand dollars |
| Holothuroidea | Elongated, soft body with tiny ossicles | Deposit and suspension feeders | Sea cucumbers |
| Crinoidea | Attached by a stalk or clinging, with feathery arms | Suspension feeders | Sea lilies, feather stars |
Echinoderms are the closest relatives of the chordates apart from the small group of hemichordates (acorn worms), which share pharyngeal slits with chordates. Together these groups form the deuterostomes.
The four chordate traits
Chordates are bilaterian deuterostomes defined by four features that appear at some stage of development, even if they disappear in the adult:
- A notochord, a flexible rod of fluid-filled cells wrapped in fibrous tissue, lying between the gut and the nerve cord. It supports the body and gives muscles something to pull against. In most vertebrates a jointed skeleton replaces it, and in humans remnants persist as the nucleus pulposus of the intervertebral discs.
- A dorsal, hollow nerve cord, formed when a plate of ectoderm rolls into a tube above the notochord. It becomes the brain and spinal cord. Most other bilaterians have solid nerve cords running along the ventral side.
- Pharyngeal slits or clefts, openings or grooves in the pharynx (the region just behind the mouth). In lancelets and tunicates the slits filter food from water; in fishes they became gill slits supported by gill arches; in tetrapods the clefts and arches develop into parts of the ear, the tonsils, the thymus, the parathyroid glands and structures of the head and neck.
- A muscular post-anal tail, extending beyond the anus and providing propulsion in many aquatic chordates. Humans have one as embryos; it regresses, leaving the coccyx.
Chordates also have an endostyle, a groove in the floor of the pharynx that secretes mucus to trap food in lancelets and tunicates; in vertebrates it develops into the iodine-binding thyroid gland.
Invertebrate chordates
Two groups of chordates lack backbones. Lancelets (cephalochordates) are small, bladelike animals that burrow in sand with only the head sticking out, filtering food through their pharyngeal slits. They keep all four chordate traits as adults and swim with segmented blocks of muscle, the same arrangement seen in vertebrate embryos. Tunicates (urochordates, or sea squirts) are, surprisingly, the closest living relatives of vertebrates. Their tadpole-like larvae have all four chordate traits, but most adults lose the notochord, nerve cord and tail and become sessile filter feeders that draw water in through one siphon and out through another, squirting when touched.
Craniates and vertebrates
Craniates are chordates with a head, including a skull (cranium) that protects a brain and paired sense organs. Craniate development depends on the neural crest, a band of cells that forms along the edges of the closing neural tube and migrates throughout the embryo to form parts of the skull, teeth, peripheral nerves, the adrenal medulla and pigment cells. Craniates also have a heart with at least two chambers, red blood cells with hemoglobin, and kidneys.
Hagfishes are jawless craniates with a skull of cartilage but only rudimentary vertebrae; they are slimy scavengers that can release enormous volumes of slime when attacked. Vertebrates add a vertebral column, a series of vertebrae that encloses the spinal cord and takes over the notochord's support role, plus a more elaborate brain and skeleton. Lampreys are jawless vertebrates; many adults are parasites that attach to fish with a round, toothed mouth and feed on blood. Molecular data group hagfishes and lampreys together as the cyclostomes, the jawless vertebrates, and suggest that hagfishes lost vertebral elements. Many extinct jawless fishes, the armored ostracoderms, also existed in the early Paleozoic.
The evolution of jaws
All other vertebrates are gnathostomes ("jaw mouths"). Jaws evolved by modification of skeletal rods, the pharyngeal arches, that supported the anterior pharyngeal slits. Hinged jaws, with teeth, let vertebrates grip and slice prey, opening up an enormous range of feeding niches and active predation. Gnathostomes also have paired fins (pectoral and pelvic), a larger forebrain, enhanced smell and vision, and a lateral line system of sensory organs along the body that detect vibrations in water. Gnathostomes appear in the fossil record about 440 million years ago. The placoderms, armored jawed fishes, dominated the seas for a time and then went extinct; living gnathostomes descend from two other lineages, the cartilaginous fishes and the bony fishes.
| Chordate trait | Function in lancelets and fishes | Fate in the adult human |
|---|---|---|
| Notochord | Flexible support | Nucleus pulposus of intervertebral discs |
| Dorsal hollow nerve cord | Central nervous system | Brain and spinal cord, with the ventricles and central canal as the hollow center |
| Pharyngeal slits or clefts and arches | Filter feeding, then gills | Middle ear and auditory tube, tonsils, thymus, parathyroids, jaw and laryngeal structures |
| Muscular post-anal tail | Swimming | Regresses; coccyx remains |
| Endostyle | Mucus for filter feeding | Thyroid gland |
Echinoderms are deuterostomes with pentaradial adults, bilateral larvae, ossicle endoskeletons and a water vascular system of tube feet. Chordates share a notochord, a dorsal hollow nerve cord, pharyngeal slits and a post-anal tail at some stage. Lancelets and tunicates are invertebrate chordates; craniates add a skull and neural crest, vertebrates add a backbone, and gnathostomes add jaws derived from pharyngeal arches.
Section 4Fishes, amphibians and reptiles including birds
Cartilaginous fishes
Chondrichthyans (sharks, rays, skates and ratfishes) have skeletons made mostly of cartilage, often strengthened with calcium. Their ancestors had bony skeletons, so cartilage here is a derived condition, not a primitive one. Sharks are streamlined swimmers with powerful jaws and rows of teeth that are continually replaced. They lack a swim bladder; an oily liver provides some buoyancy, and many must keep swimming to stay up and to pass water over their gills. Sharks have keen senses: smell, vision, the lateral line, and electroreceptors that detect the weak electric fields of prey muscles. Fertilization is internal, and depending on the species, sharks lay eggs (oviparous), retain eggs that hatch inside the mother (ovoviviparous), or nourish embryos through a placenta (viviparous). Rays and skates are flattened bottom dwellers that feed mostly on mollusks and crustaceans.
Bony fishes: ray-finned and lobe-finned
Osteichthyans have skeletons of bone, a protective bony flap called the operculum over the gills (letting them breathe while stationary by pumping water across the gills), and, in most species, a swim bladder, an air sac that adjusts buoyancy. The swim bladder evolved from lungs in early bony fishes. This group includes the tetrapods, because tetrapods descend from bony fishes. The aquatic members fall into two lineages.
Ray-finned fishes (actinopterygians) have fins supported by thin, bony rays. They include nearly all familiar fishes (trout, tuna, goldfish, seahorses, eels) and more than 30,000 species, the most species-rich vertebrate group. Lobe-finned fishes (sarcopterygians) have rod-shaped bones surrounded by muscle in their pectoral and pelvic fins. Only three lineages survive: coelacanths, thought to be extinct until one was caught off southern Africa in 1938; lungfishes, which gulp air and can survive drought buried in mud; and the tetrapods. Lungfishes are the closest living fish relatives of tetrapods.
Tetrapods and the move onto land
Tetrapods are gnathostomes with four limbs bearing digits. Their limbs evolved from the lobed fins of sarcopterygians around 365 million years ago, probably in shallow, oxygen-poor waters where support and air breathing were already useful. Transitional fossils document the change. Tiktaalik, about 375 million years old, was a fish with scales, fins and gills, but also lungs, a flattened head with eyes on top, a neck and fin bones that could prop up its body like an elbow and wrist. Acanthostega had legs with eight digits yet still lived in water. Tetrapods also gained a neck, ribs able to support the body and pelvic girdle bones fused to the backbone so the hind limbs could carry weight.
Amphibians
Amphibians ("both ways of life") include about 8,000 living species in three orders: salamanders (Urodela, "tailed ones"), frogs and toads (Anura, "without tails") and the legless, burrowing caecilians (Apoda). Many amphibians live a double life. A frog begins as an aquatic, herbivorous tadpole with gills, a lateral line and a tail, then undergoes metamorphosis, driven by thyroid hormone, into a carnivorous adult with lungs and legs. Amphibian eggs lack a shell and dry out quickly, so most species lay eggs in water or damp places, and external fertilization is common in frogs. Adults exchange gases through moist, thin skin as well as lungs and the lining of the mouth, which keeps them dependent on humid habitats. Many species secrete toxic or distasteful compounds from skin glands, sometimes advertised with bright warning colors.
Amphibians have declined faster than any other vertebrate group in recent decades, with hundreds of species lost or severely reduced. Causes include habitat loss, climate change, pollution and especially chytridiomycosis, a skin disease caused by a chytrid fungus (Batrachochytrium) that disrupts the electrolyte balance across the skin.
Amniotes and the amniotic egg
Amniotes, the reptiles (including birds) and mammals, are tetrapods named for their key adaptation to land, the amniotic egg. It contains four extraembryonic membranes, made by the embryo but not part of its body, that let the embryo develop on land inside its own private pond. In reptiles and monotremes, the egg also has a shell, leathery or calcium-rich, that slows water loss while allowing gas exchange. Most mammals no longer lay eggs but retain the four membranes, which in placental mammals contribute to the placenta and umbilical cord.
| Membrane | Function in a reptile or bird egg | Fate in placental mammals |
|---|---|---|
| Amnion | Encloses the embryo in fluid that cushions it and prevents drying | Amniotic sac and fluid (the "water" that breaks before birth) |
| Chorion | Lines the shell; with the allantois, exchanges O2 and CO2 | Embryo's contribution to the placenta |
| Yolk sac | Encloses the yolk; its blood vessels carry nutrients to the embryo | Site of the first blood cells and germ cells |
| Allantois | Stores nitrogenous waste (uric acid); helps exchange gases | Blood vessels of the umbilical cord |
Amniotes also have relatively impermeable skin, waterproofed with the protein keratin, and they ventilate their lungs by expanding the rib cage rather than by gulping air as amphibians do. Early in their history, about 310 million years ago, amniotes split into two lineages: the synapsids, which led to mammals, and the sauropsids (reptiles), which led to lizards, snakes, turtles, crocodilians and birds.
Reptiles
Reptiles have scales made of keratin, lay shelled eggs on land (or retain them internally), and have internal fertilization. Most nonavian reptiles are ectotherms: they gain body heat mainly from the environment and regulate their temperature by behavior, such as basking in the sun or retreating to shade. Ectothermy is not a weakness; it lets a reptile live on a small fraction of the food a same-sized mammal needs. Living reptiles include the lepidosaurs (tuataras, lizards and snakes; snakes are legless lizards that smell with a forked tongue and many detect infrared heat with pit organs), the turtles (with a shell fused to the ribs and backbone), and the archosaurs, which include crocodilians, the extinct pterosaurs and nonavian dinosaurs, and birds. Crocodilians are the closest living relatives of birds, and like birds they have a four-chambered heart.
Birds
Birds are feathered archosaurs descended from theropod dinosaurs, the group that includes Tyrannosaurus and Velociraptor. Many theropods already had feathers, hollow bones, nesting behavior and a wishbone (furcula). Archaeopteryx, about 150 million years old, had feathered wings but also teeth, clawed fingers and a long bony tail. Living birds are built for flight. Feathers, made of keratin, form the airfoil of the wing and insulate the body. Weight is reduced by hollow bones, the absence of teeth (a light keratin beak instead), a single ovary in most females and gonads that shrink outside the breeding season. A keeled sternum anchors huge flight muscles. Flight demands a great deal of energy, which birds supply through endothermy (generating heat by metabolism), a four-chambered heart, and a highly efficient respiratory system in which air sacs keep air flowing in one direction through the lungs. Most birds also have excellent vision. Some, such as ostriches and penguins, have lost flight, but they carry the same features.
| Group | Skin covering | Respiration | Heart | Eggs and development | Body temperature |
|---|---|---|---|---|---|
| Cartilaginous fishes | Placoid scales (toothlike) | Gills | Two chambers | Internal fertilization; egg-laying or live birth | Ectotherm (most) |
| Ray-finned fishes | Bony scales, mucus | Gills with operculum | Two chambers | Mostly external fertilization in water | Ectotherm (most) |
| Amphibians | Moist, glandular, no scales | Lungs, skin, gills in larvae | Three chambers | Shell-less eggs in water; metamorphosis | Ectotherm |
| Nonavian reptiles | Keratin scales | Lungs | Three chambers (four in crocodilians) | Amniotic shelled eggs; internal fertilization | Ectotherm |
| Birds | Feathers; scales on legs | Lungs with air sacs, one-way flow | Four chambers | Hard-shelled amniotic eggs, incubated | Endotherm |
| Mammals | Hair | Lungs ventilated by diaphragm | Four chambers | Mostly live birth; milk | Endotherm |
Cartilaginous fishes have cartilage skeletons and keen senses; bony fishes have bone, an operculum and usually a swim bladder. Lobe-finned fishes gave rise to tetrapods, documented by fossils such as Tiktaalik. Amphibians remain tied to water for reproduction and breathe partly through their skin. Amniotes free reproduction from water with the amniotic egg. Reptiles include lepidosaurs, turtles, crocodilians and birds, which are feathered, endothermic dinosaurs built for flight.
Section 5Mammals and human evolution
What makes a mammal
Mammals are amniotes descended from the synapsid lineage, which arose more than 300 million years ago. Early synapsids, sometimes misleadingly called "mammal-like reptiles," gradually acquired mammalian traits over about 100 million years, and the first true mammals appeared around 200 million years ago, small and probably nocturnal, living alongside the dinosaurs. After the mass extinction 66 million years ago removed the nonavian dinosaurs, mammals diversified rapidly into the ecological roles the dinosaurs had left open.
Living mammals share a distinctive set of traits:
- Mammary glands that produce milk to nourish the young, the trait that gives the group its name.
- Hair, made of keratin, which insulates the body and supports endothermy.
- A four-chambered heart that fully separates oxygenated and deoxygenated blood, and a muscular diaphragm that ventilates the lungs.
- A lower jaw made of a single bone, the dentary, and three middle ear bones (malleus, incus and stapes). Two of these, the malleus and incus, evolved from jaw bones of synapsid ancestors, a transition beautifully documented in the fossil record and repeated in mammalian embryos.
- Differentiated teeth (incisors, canines, premolars and molars) specialized for cutting, tearing and grinding, usually replaced only once (milk teeth, then adult teeth).
- A relatively large brain, and in most species extended parental care and learning.
| Mammal group | Reproduction | Examples | Notes |
|---|---|---|---|
| Monotremes | Lay leathery-shelled eggs; milk oozes from skin patches (no nipples) | Platypus, echidnas | Only five living species, in Australia and New Guinea; platypus males have venomous spurs |
| Marsupials | Short pregnancy with a simple placenta; tiny embryonic young crawl to a nipple, often in a pouch (marsupium), to finish developing | Kangaroos, koalas, opossums, wombats | Diversified in Australia; the opossum is the only North American marsupial |
| Eutherians (placental mammals) | Longer pregnancy; complex placenta formed from embryonic and maternal tissues | Rodents, bats, whales, carnivores, primates | Over 90 percent of living mammal species; rodents and bats are the largest orders |
Marsupials and eutherians often show convergent evolution: unrelated species in similar environments evolve similar forms. Australian marsupial "moles," "mice," "flying squirrels" (sugar gliders) and the extinct thylacine (a wolflike predator) parallel the eutherian moles, mice, flying squirrels and wolves of other continents.
Primates
Primates include lemurs, lorises, tarsiers, monkeys and apes, including humans. Many primate traits are adaptations to life in trees: grasping hands and feet with flat nails instead of claws; sensitive fingertip pads; an opposable thumb (in many species) that can touch the other fingers for precise grip; a large brain relative to body size; forward-facing eyes close together on the face, giving overlapping visual fields and excellent depth perception; color vision in many species; and a high degree of parental care, usually for single offspring.
Primates divide into two groups. Strepsirrhines include the lemurs of Madagascar and the lorises and pottos of Africa and southern Asia; they often have a moist nose and rely more on smell. Haplorhines include the tarsiers and the anthropoids (monkeys and apes). New World monkeys of Central and South America have flat noses with nostrils facing sideways, and many have prehensile tails that grasp branches. Old World monkeys of Africa and Asia (baboons, macaques) have nostrils facing downward and never have prehensile tails. Apes (hominoids: gibbons, orangutans, gorillas, chimpanzees, bonobos and humans) have no tail, relatively long arms, and the largest brains among primates. The closest living relatives of humans are chimpanzees and bonobos, which share about 98.8 percent of our DNA sequence.
Hominin evolution
Hominins are the species on the human branch after it split from the lineage leading to chimpanzees. More than 20 extinct hominin species are known, and they did not form a single straight line of ancestors and descendants; several species often lived at the same time. The fossil record shows mosaic evolution: different traits changed at different times and rates. Most importantly, bipedalism, upright walking on two legs, came first, millions of years before large brains or stone tools. Skeletal clues to bipedalism include a foramen magnum (the opening for the spinal cord) located directly under the skull rather than at the back, an S-shaped spine, a short, bowl-shaped pelvis, knees angled inward under the body, and a nongrasping big toe aligned with the other toes.
The earliest proposed hominins include Sahelanthropus (about 7 to 6 million years ago, with a forward-placed foramen magnum) and Ardipithecus (about 5.8 to 4.4 million years ago), which walked upright on the ground but kept a grasping big toe for climbing. The australopiths followed. Australopithecus afarensis, known from the partial skeleton nicknamed "Lucy" (about 3.2 million years old), was fully bipedal but had a chimpanzee-sized brain of about 400 to 500 cubic centimeters and long arms suited to climbing. Fossil footprints preserved in volcanic ash at Laetoli, Tanzania, about 3.6 million years old, show a humanlike upright stride. The robust Paranthropus species had massive jaws and molars for chewing tough plant foods and were a side branch that left no descendants.
The genus Homo appears about 2.4 million years ago with Homo habilis ("handy man"), whose brain was somewhat larger (about 600 cubic centimeters) and who is associated with simple stone tools. Homo erectus, appearing about 1.9 million years ago, had a brain of about 900 cubic centimeters, a tall body with long legs suited to long-distance walking and running, more advanced tools (hand axes), likely control of fire, and was the first hominin to spread out of Africa into Asia and Europe. Homo neanderthalensis (Neanderthals) lived in Europe and western Asia from about 400,000 to 40,000 years ago. They had brains as large as or larger than ours, made sophisticated tools, buried their dead and survived ice-age climates. Ancient DNA shows that they interbred with Homo sapiens: people of non-African ancestry carry about 1 to 2 percent Neanderthal DNA. Another archaic group known mainly from DNA, the Denisovans, contributed genes to some Asian and Oceanian populations. The small-bodied Homo floresiensis of Indonesia and Homo naledi of South Africa show that hominin diversity persisted until relatively recently.
| Hominin | Approximate age (million years ago) | Brain size (cm3) | Key features |
|---|---|---|---|
| Ardipithecus ramidus | 4.4 | About 300 to 350 | Bipedal on the ground; grasping big toe |
| Australopithecus afarensis | 3.9 to 2.9 | About 400 to 500 | Fully bipedal ("Lucy," Laetoli footprints); long arms |
| Homo habilis | 2.4 to 1.4 | About 600 | Simple stone tools |
| Homo erectus | 1.9 to about 0.1 | About 900 to 1,000 | Human body proportions, hand axes, fire; left Africa |
| Homo neanderthalensis | 0.4 to 0.04 | About 1,450 (average) | Cold-adapted, complex tools, burials; interbred with H. sapiens |
| Homo sapiens | 0.3 to present | About 1,350 (average) | Rounded skull, chin, symbolic art and language |
The origin of Homo sapiens
Fossils from Jebel Irhoud in Morocco show that early Homo sapiens lived in Africa by about 300,000 years ago, and fossil and genetic evidence agree that modern humans originated in Africa. Africa holds the greatest human genetic diversity, as expected if other populations descend from a subset of African ancestors. Small groups of H. sapiens dispersed out of Africa, most successfully around 60,000 to 70,000 years ago, reaching Australia by at least 50,000 years ago and the Americas by at least 15,000 to 20,000 years ago. As they spread, they encountered and occasionally interbred with Neanderthals and Denisovans, which later disappeared. Distinctive modern behaviors, such as symbolic art, personal ornaments and complex language, became widespread over this period. All living humans belong to one species with very little genetic variation compared with other great apes; two chimpanzees from neighboring African populations often differ more genetically than two humans from different continents.
Mammals are synapsid amniotes with milk, hair, a diaphragm, a single-bone lower jaw with three middle ear bones and differentiated teeth; they include monotremes, marsupials and eutherians. Primates are adapted to trees with grasping hands, forward-facing eyes and large brains. Hominins split from the chimpanzee line 6 to 7 million years ago, became bipedal long before their brains enlarged, and branched into many coexisting species. Homo sapiens arose in Africa about 300,000 years ago, spread worldwide and interbred with Neanderthals and Denisovans.
The chapter in one breath
- Animals are multicellular, ingestive heterotrophs without cell walls whose development passes through a blastula and gastrulation, guided by Hox genes.
- Body plans are described by tissues, radial or bilateral symmetry, two or three germ layers, and acoelomate, pseudocoelomate or coelomate body cavities.
- Protostomes (spiral, determinate cleavage; blastopore becomes mouth) and deuterostomes (radial, indeterminate cleavage; blastopore becomes anus) are sister lineages.
- Sponges filter feed with choanocytes; cnidarians have polyps, medusae and stinging cnidocytes.
- Lophotrochozoa include flatworms, molluscs (foot, visceral mass, mantle) and segmented annelids; Ecdysozoa molt and include nematodes and arthropods.
- Arthropods succeed with a chitin exoskeleton, jointed appendages and specialized body regions; insects add flight and metamorphosis.
- Echinoderms are pentaradial deuterostomes that move with a water vascular system of tube feet.
- Chordates have a notochord, dorsal hollow nerve cord, pharyngeal slits and a post-anal tail; vertebrates add a cranium, neural crest and backbone.
- Jaws, bone, lobed fins, limbs and the amniotic egg mark successive steps from fishes to land vertebrates.
- Birds are feathered, endothermic dinosaurs, and the closest living relatives of crocodilians.
- Mammals have milk, hair, three middle ear bones and differentiated teeth; primates are tree-adapted mammals with grasping hands and forward eyes.
- Hominins became bipedal millions of years before their brains enlarged; Homo sapiens arose in Africa about 300,000 years ago.
Words worth knowing
| Term | What it means |
|---|---|
| Gastrulation | The infolding of the blastula that forms germ layers and the primitive gut. |
| Blastopore | The opening of the embryonic gut; it becomes the mouth in protostomes and the anus in deuterostomes. |
| Hox genes | Developmental control genes that specify identity along the head to tail axis. |
| Cephalization | Concentration of sense organs and nervous tissue at the anterior end. |
| Mesoderm | The middle germ layer, forming muscle, most organs and the circulatory system. |
| Coelom | A body cavity completely lined by mesoderm. |
| Pseudocoelom | A body cavity lined by mesoderm on the outside and endoderm on the inside. |
| Hydrostatic skeleton | Fluid held under pressure in a closed compartment that muscles push against. |
| Choanocyte | A flagellated collar cell that drives water currents and traps food in sponges. |
| Cnidocyte | A cnidarian stinging cell containing a capsule such as a nematocyst. |
| Gastrovascular cavity | A digestive cavity with a single opening that also distributes nutrients. |
| Mantle | The tissue fold in molluscs that covers the visceral mass and secretes the shell. |
| Radula | The rasping, toothed feeding strap of many molluscs. |
| Ecdysis | Molting of a cuticle or exoskeleton to allow growth. |
| Exoskeleton | A hard external covering; in arthropods made of chitin and protein. |
| Open circulatory system | A system in which hemolymph leaves vessels and bathes organs directly. |
| Complete metamorphosis | Development through larva and pupa to a very different adult. |
| Water vascular system | The echinoderm network of canals that operates the tube feet hydraulically. |
| Notochord | A flexible supporting rod between gut and nerve cord in chordate embryos. |
| Neural crest | Embryonic cells that migrate from the neural tube to form skull, nerve, pigment and other tissues. |
| Gnathostomes | Jawed vertebrates. |
| Swim bladder | A gas-filled sac that controls buoyancy in most bony fishes. |
| Tetrapods | Vertebrates with four limbs bearing digits. |
| Amniotic egg | An egg with amnion, chorion, yolk sac and allantois that can develop on land. |
| Ectotherm | An animal that gains body heat mainly from its environment. |
| Endotherm | An animal that keeps its body warm with heat from its own metabolism. |
| Eutherian | A placental mammal, with a long pregnancy supported by a complex placenta. |
| Hominin | A member of the human lineage after its split from the chimpanzee lineage. |
| Bipedalism | Habitual upright walking on two legs. |
| Foramen magnum | The skull opening for the spinal cord; positioned underneath in bipeds. |
Check yourself
Animal Form, Function, Homeostasis, Reproduction and Development
An animal is a society of cells that has to keep one small pond of fluid, the extracellular fluid, stable while the outside world swings from freezing to scorching, from feast to famine and from calm to danger. Every organ system in this chapter, from the gut and the heart to the kidney, the immune system and the brain, exists to defend that internal pond or to pass the whole arrangement on to the next generation. Once you see each system as a solution to a physical problem (surface area, diffusion distance, signal speed, water loss), animal physiology stops being a list of organs and becomes a set of ideas you can reason with.
By the end of this chapter you can
- Name the four animal tissue types and explain how the surface area to volume ratio shapes body design.
- Describe homeostasis as a control system with a set point, sensor, integrator and effector, and contrast negative and positive feedback.
- Compare endotherms and ectotherms and explain the four routes of heat exchange and the main thermoregulatory adaptations.
- Trace food through the four stages of digestion and explain how open and closed circulatory systems, the vertebrate heart and gas exchange surfaces deliver oxygen to cells.
- Distinguish innate and adaptive immunity, humoral and cell mediated responses, and explain immunological memory.
- Explain how nephrons filter, reabsorb and secrete, and relate nitrogenous waste type to habitat.
- Compare peptide and steroid hormones and describe the hypothalamus and pituitary axis.
- Explain the resting potential, the action potential, synaptic transmission, sensory transduction and the sliding filament model of muscle contraction.
- Describe gametogenesis, fertilization, cleavage, gastrulation and organogenesis, and the hormones of the human reproductive cycles.
Section 1Tissues, homeostasis and thermoregulation
Levels of organization and the four tissue types
Animal bodies are built in a hierarchy: cells form tissues, tissues combine into organs, and organs that work toward a shared task form an organ system. A tissue is a group of cells with a common structure and function, together with the material they secrete around themselves. Every animal organ, from the stomach of a squid to the heart of a horse, is assembled from just four tissue types.
- Epithelial tissue covers outside surfaces and lines internal cavities and tubes. Its cells are packed tightly, joined by junctions, and sit on a basement membrane (basal lamina). One surface faces a lumen or the outside (the apical surface) and the other faces the basement membrane (the basal surface), so epithelia are polarized.
- Connective tissue has relatively few cells scattered in an extracellular matrix of protein fibers (collagen, elastic and reticular fibers) and ground substance. Loose connective tissue, fibrous connective tissue (tendons and ligaments), adipose tissue, cartilage, bone and blood are all connective tissues.
- Muscle tissue contracts. Skeletal muscle is striated and voluntary, cardiac muscle is striated, branched and joined by intercalated disks, and smooth muscle lacks striations and lines the gut, blood vessels and bladder.
- Nervous tissue receives, processes and transmits information. Neurons carry electrical signals, and glial cells support, insulate and nourish them.
| Tissue | Defining features | Examples | Main jobs |
|---|---|---|---|
| Epithelial | Tightly packed, polarized cells on a basement membrane; no blood vessels inside | Skin epidermis, gut lining, kidney tubules, alveoli | Protection, absorption, secretion, filtration |
| Connective | Scattered cells in an abundant matrix of fibers and ground substance | Tendon, cartilage, bone, adipose, blood | Support, binding, storage, transport |
| Muscle | Elongated cells packed with actin and myosin | Skeletal, cardiac and smooth muscle | Movement, pumping, propulsion of contents |
| Nervous | Neurons with axons and dendrites, plus glia | Brain, spinal cord, nerves, sensory organs | Rapid communication and integration |
Size, shape and the exchange problem
Every cell must exchange gases, nutrients and wastes with a watery environment, and diffusion is only fast over very short distances. The time diffusion takes rises with the square of the distance, so doubling the distance makes the trip four times slower. A one celled organism or a two cell thick hydra can rely on direct contact with the surrounding water. Larger animals cannot, because as an object grows its volume (the cells that need supplies) increases with the cube of its length while its surface area (the place where exchange happens) increases only with the square. The surface area to volume ratio therefore falls as size increases.
Animals solve this problem in two ways. Some stay thin or flat, like flatworms, so every cell is near the surface. Most evolve internal exchange surfaces that are enormously folded or branched (lungs, gills, intestinal villi, kidney tubules) and a circulatory system that carries materials between those surfaces and every cell. A recurring theme of this chapter is this pairing: a huge, thin exchange surface plus a transport system that keeps the gradients steep.
Homeostasis: regulating the internal environment
The cells of complex animals live in an internal environment, the interstitial fluid, and the maintenance of a relatively constant internal state is homeostasis. Body temperature, blood glucose, blood pH (near 7.4), blood calcium, osmolarity and blood pressure are all held within narrow ranges. Homeostasis does not mean that nothing changes; it means that variables fluctuate around a set point and are pushed back when they drift.
A homeostatic control system has four parts. A stimulus is a change in the variable. A sensor (receptor) detects it. A control center (integrator), often in the brain or an endocrine gland, compares the reading with the set point. An effector (a muscle or gland) makes the response that moves the variable back.
Negative and positive feedback
In negative feedback, the response opposes the stimulus, so the variable returns toward the set point and the system stabilizes. Nearly all homeostatic control is negative feedback. When blood glucose rises after a meal, the pancreas releases insulin, cells take up glucose and glucose falls; the fall then reduces insulin release.
In positive feedback, the response amplifies the stimulus, driving the variable farther from its starting point until some outside event ends the loop. Positive feedback is used for processes that must be completed quickly rather than held steady. During childbirth, pressure of the baby's head on the cervix triggers release of oxytocin, which strengthens uterine contractions, which push the head harder against the cervix, which releases more oxytocin; delivery ends the cycle.
Thermoregulation: endotherms and ectotherms
Temperature matters because enzymes, membranes and reaction rates are all temperature sensitive.
Endotherms, mainly birds and mammals, warm their bodies with heat generated by their own metabolism. Ectotherms, including most invertebrates, fishes, amphibians and nonavian reptiles, gain most of their heat from the environment. These terms describe the heat source; the older terms warm blooded and cold blooded are misleading, because a lizard basking in desert sun can have a higher body temperature than a mammal. Endothermy costs roughly five to ten times more energy than ectothermy at rest but allows sustained activity in the cold; ectotherms can survive long periods on little food.
Four routes of heat exchange
Every organism exchanges heat with its surroundings by four physical processes. Radiation is the emission of electromagnetic (infrared) energy and works without contact, as when a lizard absorbs sunlight. Conduction is direct transfer between objects in contact, such as a body lying on cold rock; water conducts heat about 25 times better than air, which is why cold water chills you so fast. Convection is transfer by moving air or water across a surface; wind chill is convection. Evaporation removes heat as water changes to vapor, because water has a high heat of vaporization. Sweating, panting and licking fur all exploit evaporative cooling.
Adaptations for thermoregulation
Animals adjust heat exchange using several overlapping strategies.
- Insulation. Fur, feathers and fat reduce heat flow. Marine mammals rely on a thick layer of blubber, because wet fur insulates poorly. Raising fur or feathers traps more still air; goosebumps in humans are the remnant of this reflex.
- Circulatory adjustments. Vasodilation of surface vessels carries warm blood to the skin and increases heat loss; vasoconstriction reduces it. Countercurrent heat exchangers place warm arteries beside cool veins flowing in the opposite direction, so heat passes from outgoing arterial blood to returning venous blood before it reaches the extremity. Geese standing on ice, dolphin flippers and the legs of arctic foxes all use this arrangement.
- Evaporative cooling. Sweating (humans, horses), panting (dogs, birds) and spreading saliva are all evaporative.
- Behavior. Basking, seeking shade, burrowing, huddling, orienting the body toward or away from the sun and migrating are often the cheapest responses.
- Adjusting metabolic heat production. Shivering thermogenesis uses muscle contraction to generate heat. Nonshivering thermogenesis raises metabolic rate through hormones (thyroid hormone, epinephrine), and in mammals brown adipose tissue, packed with mitochondria, uses the uncoupling protein thermogenin (UCP1) to let protons leak across the inner mitochondrial membrane so that the energy of the gradient is released as heat rather than used to make ATP.
In mammals the hypothalamus acts as the thermostat. When blood or skin temperature rises it triggers vasodilation and sweating; when temperature falls it triggers vasoconstriction, shivering and nonshivering thermogenesis. A fever is not a failure of the thermostat but a deliberate resetting of the set point upward, triggered by molecules called pyrogens released during infection. That is why a person with a rising fever feels chilled and shivers: the body is below its new set point.
Animal bodies are built from four tissue types and organized so that thin, enormous exchange surfaces plus transport systems overcome the limits of diffusion. Homeostasis keeps internal variables near set points, almost always by negative feedback, while positive feedback drives events to completion. Endotherms pay a high energy price to generate their own heat; ectotherms rely on the environment; both balance radiation, conduction, convection and evaporation with insulation, blood flow, behavior and metabolism.
Section 2Nutrition, circulation and gas exchange
What animals need from food
Animals are heterotrophs: they must eat organic molecules made by other organisms. Food supplies three things. It supplies chemical energy to make ATP, organic building blocks (carbon skeletons and organic nitrogen) to build the body's own molecules, and essential nutrients that the animal cannot make for itself. The essential nutrients fall into four groups: essential amino acids (nine for adult humans, including lysine, methionine and tryptophan), essential fatty acids (linoleic and alpha linolenic acids in humans), vitamins (organic molecules needed in small amounts, many of which become coenzymes) and minerals (inorganic elements such as calcium, iron and iodine).
The four stages of food processing
Food processing happens in four stages. Ingestion is taking food in. Digestion breaks large molecules into monomers small enough to absorb, first mechanically (chewing, churning) and then chemically by enzymatic hydrolysis, in which water is added across the bonds that link monomers. Absorption is the uptake of those monomers by the cells lining the gut. Elimination is the removal of undigested material as feces.
Most animals digest food outside cells, in a compartment. Cnidarians and flatworms have a gastrovascular cavity with a single opening that serves as both mouth and anus. Most other animals have an alimentary canal, a complete tube with a mouth and an anus, which allows specialized regions to act in sequence and allows the animal to eat again before the previous meal is finished.
The mammalian digestive system
In humans, digestion begins in the oral cavity, where teeth break up food and saliva supplies salivary amylase to start starch digestion and mucus to lubricate the bolus. The bolus then passes down the esophagus, where waves of smooth muscle contraction called peristalsis move it to the stomach.
The stomach stores food and begins protein digestion. Its gastric glands secrete hydrochloric acid (from parietal cells), bringing the pH to about 2, which denatures proteins and kills many microbes, and pepsinogen (from chief cells), which acid converts to the active protease pepsin. Churning produces a soupy mixture called chyme, released in small amounts through the pyloric sphincter.
The small intestine is where most digestion and nearly all absorption occur. Its first part, the duodenum, receives bile from the liver (stored in the gallbladder) and digestive juice from the pancreas. Bile salts are not enzymes; they emulsify fats into tiny droplets that give lipase more surface to work on. Pancreatic juice contains bicarbonate, which neutralizes acid chyme, and enzymes including pancreatic amylase, trypsin and chymotrypsin, lipase and nucleases. Enzymes attached to the intestinal epithelium, such as maltase, lactase, sucrase and peptidases, finish the job. The lining is folded into villi, and each epithelial cell bears microvilli (the brush border), multiplying the absorptive surface. Sugars and amino acids enter blood capillaries in each villus and travel through the hepatic portal vein to the liver, which regulates their release to the body. Fats are reassembled into triglycerides, packaged into chylomicrons and enter a lymph vessel in the villus called a lacteal.
The large intestine (colon) reabsorbs water and houses a dense community of bacteria, the gut microbiome, which ferments fiber into short chain fatty acids and makes vitamin K and some B vitamins. The rectum stores feces until elimination.
| Enzyme | Source | Site of action | Substrate to product |
|---|---|---|---|
| Salivary amylase | Salivary glands | Mouth | Starch to maltose and short polysaccharides |
| Pepsin | Stomach chief cells (as pepsinogen) | Stomach | Proteins to smaller polypeptides |
| Pancreatic amylase | Pancreas | Small intestine | Starch to maltose |
| Trypsin, chymotrypsin | Pancreas (as inactive precursors) | Small intestine | Polypeptides to short peptides |
| Lipase | Pancreas | Small intestine | Triglycerides to fatty acids and monoglycerides |
| Brush border enzymes (maltase, lactase, peptidases) | Intestinal epithelium | Small intestine surface | Disaccharides and peptides to monomers |
Why circulate? Open and closed systems
Once nutrients are absorbed and oxygen is taken in, they must reach every cell. A circulatory system has three parts: a circulatory fluid, a set of vessels or spaces, and a muscular pump, the heart. It converts the slow, short range process of diffusion into fast, long range bulk flow.
In an open circulatory system, found in arthropods and most mollusks, the heart pumps fluid called hemolymph through vessels that open into sinuses surrounding the organs, so the circulatory fluid and interstitial fluid are the same. In a closed circulatory system, found in annelids, cephalopods (squid and octopus) and all vertebrates, blood stays inside vessels and is separate from interstitial fluid. Closed systems maintain higher pressure, deliver oxygen faster and allow blood flow to be directed to particular organs. Open systems use less energy and, in insects, work well because oxygen reaches tissues directly through air tubes called tracheae rather than through the blood.
Blood vessels and blood
Arteries carry blood away from the heart; they have thick, elastic and muscular walls that withstand high pressure. Arteries branch into arterioles and then into capillaries, whose walls are a single layer of endothelial cells. Capillary beds are where exchange with tissues happens. Capillaries merge into venules and veins, which carry blood back to the heart. Veins have thinner walls, low pressure and valves that prevent backflow; skeletal muscle contraction squeezes veins and helps return blood. The direction of flow, not the oxygen content, defines artery versus vein: the pulmonary artery carries oxygen poor blood, and the pulmonary veins carry oxygen rich blood.
Human blood is about 55 percent plasma (water, ions, plasma proteins such as albumin, fibrinogen and antibodies, nutrients and wastes) and 45 percent cellular elements. Red blood cells (erythrocytes) carry oxygen bound to hemoglobin; mammalian red cells lack nuclei and mitochondria, leaving more room for hemoglobin. White blood cells (leukocytes) defend the body. Platelets are cell fragments that start clotting.
The vertebrate heart and double circulation
Fishes have a two chambered heart (one atrium, one ventricle) and single circulation: blood passes from heart to gills to body and back to the heart. Amphibians, reptiles, birds and mammals have double circulation, with a pulmonary circuit (heart to lungs and back) and a systemic circuit (heart to body and back). The heart repressurizes blood after it returns from the lungs, so the body receives blood under strong pressure. Birds and mammals have fully separated four chambered hearts, which evolved independently in the two groups; amphibians and most reptiles have some mixing in the ventricle. The four chambered heart evolved independently in birds and mammals.
In mammals, oxygen poor blood from the body enters the right atrium through the venae cavae, passes to the right ventricle, and is pumped through the pulmonary arteries to the lungs. Oxygen rich blood returns through the pulmonary veins to the left atrium, passes to the left ventricle, and is pumped out through the aorta. The left ventricle has the thickest wall because it drives blood through the whole systemic circuit. Atrioventricular valves prevent backflow from ventricles to atria, and semilunar valves prevent backflow from the arteries into the ventricles.
The cardiac cycle and its control
One complete sequence of pumping and filling is the cardiac cycle. Contraction is systole and relaxation is diastole. A normal human blood pressure reading of about 120/80 mm Hg gives systolic over diastolic arterial pressure. Cardiac output, the volume pumped per minute by each ventricle, equals heart rate times stroke volume; at rest about 72 beats per minute times 70 mL is roughly 5 liters per minute, about the entire blood volume.
Cardiac muscle is myogenic: it beats without nerve input. The sinoatrial (SA) node in the right atrium, the pacemaker, sets the rhythm. Its impulse spreads across both atria, which contract together, and reaches the atrioventricular (AV) node, where a delay of about 0.1 second lets the atria finish emptying. The signal then travels down the bundle branches and Purkinje fibers to the apex, so the ventricles contract from the bottom up, squeezing blood toward the arteries. These electrical events produce the electrocardiogram (ECG). Sympathetic nerves and epinephrine speed the pacemaker, and parasympathetic (vagus) nerves slow it.
Gas exchange: the respiratory medium and surface
Gas exchange is the uptake of O2 and release of CO2. Gases move by diffusion down their partial pressure gradients. At sea level, air is about 21 percent oxygen, so the partial pressure of oxygen (PO2) is about 0.21 × 760 mm Hg, or roughly 160 mm Hg. Water holds far less oxygen than air and is denser, so water breathers must move large volumes across their exchange surface with great efficiency.
All respiratory surfaces are moist, thin and large. Gills are outfoldings of the body surface used by fishes, many mollusks and crustaceans. Fish gills use countercurrent exchange: water flows across the gill lamellae opposite to blood flow, so all along the capillary the blood meets water that is slightly richer in oxygen. This keeps a diffusion gradient along the whole length and allows a fish to extract over 80 percent of the oxygen in the water. Terrestrial vertebrates use lungs, infoldings that keep the moist surface protected from drying.
Mammalian breathing and oxygen transport
In mammals, air enters through the nostrils, is filtered, warmed and humidified, and passes through the pharynx, larynx and trachea, which branches into two bronchi, then into ever finer bronchioles that end in clusters of tiny air sacs, the alveoli. Gas exchange happens across the alveolar walls, which are a single layer of squamous cells pressed against capillaries. A film of surfactant lowers surface tension and keeps alveoli from collapsing; premature infants who lack surfactant develop respiratory distress.
Mammals ventilate by negative pressure breathing. Contraction of the diaphragm (which flattens downward) and the external intercostal muscles enlarges the thoracic cavity, lowering pressure in the lungs below atmospheric pressure, so air flows in. Exhalation at rest is passive as the muscles relax and the elastic lungs recoil.
Breathing is controlled mainly by the medulla oblongata in the brainstem. Surprisingly, the main signal is not low oxygen but rising CO2. CO2 combines with water to form carbonic acid, which lowers the pH of blood and cerebrospinal fluid; sensors detect the drop and the medulla increases the rate and depth of breathing.
Most oxygen travels bound to hemoglobin, a protein of four subunits, each with an iron containing heme group that binds one O2. Binding is cooperative: when one subunit binds oxygen, the others bind more easily, producing an S shaped (sigmoid) dissociation curve. As a result a small drop in PO2 in active tissue releases a large amount of oxygen. Lower pH, as in active muscle that is producing CO2 and lactate, lowers hemoglobin's oxygen affinity and shifts the curve to the right; this Bohr shift unloads more oxygen exactly where it is needed.
Animals eat to obtain energy, carbon skeletons and essential nutrients, and they process food through ingestion, digestion, absorption and elimination, with the small intestine doing most of the chemical work and absorption. Circulatory systems turn diffusion into bulk flow; closed systems with a four chambered heart and double circulation support the high demands of birds and mammals. Gas exchange depends on thin, moist, large surfaces and steep partial pressure gradients, kept steep by ventilation, countercurrent flow and cooperative hemoglobin binding.
Section 3Immune, excretory and endocrine systems
Innate immunity: the first lines of defense
The body is constantly exposed to pathogens, agents that cause disease, including viruses, bacteria, fungi and parasites. Animal immune systems use two broad strategies. Innate immunity is present in all animals; it is fast, acting within minutes to hours, and recognizes features shared by broad groups of pathogens. Adaptive immunity, found only in vertebrates, is slower on first exposure (days), recognizes specific molecular shapes with enormous precision, and remembers past infections.
Innate defenses begin with barriers: skin, mucous membranes, mucus that traps microbes, cilia that sweep it away, the acid of the stomach, and antimicrobial secretions such as the enzyme lysozyme in tears and saliva, which breaks down bacterial cell walls. Immune cells carry pattern recognition receptors such as the Toll like receptors, which bind molecules common to many microbes and absent from host cells, such as bacterial flagellin, lipopolysaccharide or double stranded viral RNA. Phagocytes, chiefly neutrophils (the most abundant white cells, first to arrive) and macrophages (large, long lived phagocytes that patrol tissues), engulf and destroy microbes. Natural killer cells detect body cells that are infected or cancerous, often because those cells display abnormally few self markers, and trigger their death.
Tissue damage or infection triggers the inflammatory response. Mast cells release histamine, which dilates and leaks local blood vessels; macrophages release signaling proteins called cytokines. More blood, fluid, antimicrobial proteins and phagocytes enter the area, producing the classic signs of redness, heat, swelling and pain.
Adaptive immunity: lymphocytes and antigen recognition
Adaptive immunity depends on two kinds of lymphocytes, both made in the bone marrow. B cells mature in the bone marrow, and T cells mature in the thymus. Each lymphocyte carries thousands of copies of one antigen receptor with a unique binding site. An antigen is any substance that elicits an adaptive response, and the small region of it actually bound by a receptor is an epitope.
Receptor diversity comes from gene rearrangement (V(D)J recombination): each developing lymphocyte randomly joins one of many V, D and J gene segments, generating millions of distinct receptors. Lymphocytes that bind self molecules strongly are removed, producing self tolerance.
B cell receptors and their secreted form, antibodies (immunoglobulins), recognize intact antigens floating free or on pathogen surfaces. An antibody is a Y shaped molecule of two identical heavy chains and two identical light chains; the tips of the Y are the variable regions that bind antigen, and the stem is the constant region that determines what the antibody does next. T cell receptors, by contrast, recognize only fragments of antigen that host cells display on MHC molecules (major histocompatibility complex). Class I MHC, on almost all nucleated cells, displays fragments from inside the cell, such as viral proteins, to cytotoxic T cells. Class II MHC, on antigen presenting cells (dendritic cells, macrophages and B cells), displays fragments of engulfed material to helper T cells.
Clonal selection, the two arms and memory
When an antigen binds the receptor of a matching lymphocyte, that cell is activated and divides repeatedly, producing a clone of identical cells, a process called clonal selection. Some become short lived effector cells that fight the current infection, and some become long lived memory cells. The first encounter produces the primary immune response, which peaks after roughly 10 to 17 days. A later encounter with the same antigen triggers a faster, larger secondary immune response from memory cells, often clearing the pathogen before illness develops. This is the basis of immunological memory and vaccination.
Helper T cells, which carry the CD4 surface protein, are the central coordinators. Activated by an antigen presenting cell, they secrete cytokines that stimulate both arms of adaptive immunity. In the humoral response, activated B cells become plasma cells that secrete antibodies into the blood and lymph. Antibodies do not kill pathogens directly; they neutralize viruses and toxins by blocking binding sites, opsonize microbes (coat them so phagocytes engulf them more readily), clump them together (agglutination) and activate complement. In the cell mediated response, cytotoxic T cells (CD8) recognize infected or cancerous cells by their class I MHC and kill them by releasing perforin, which makes pores, and granzymes, which trigger apoptosis.
| Feature | Innate immunity | Adaptive immunity |
|---|---|---|
| Found in | All animals | Vertebrates only |
| Speed on first exposure | Minutes to hours | Days |
| Recognition | Broad molecular patterns shared by many microbes | Specific epitopes, by rearranged receptors |
| Main cells and molecules | Barriers, neutrophils, macrophages, NK cells, complement, interferons | B cells, plasma cells, antibodies, helper and cytotoxic T cells |
| Memory | Essentially none | Yes; faster, stronger secondary response |
Immunity is active when the body makes its own response (infection, vaccination) and passive when ready made antibodies are transferred (across the placenta, in breast milk, or by injection); passive immunity is immediate but fades within weeks because no memory cells form. Failures include allergies, autoimmune diseases such as type 1 diabetes, and immunodeficiencies such as AIDS, in which HIV destroys helper T cells.
Osmoregulation and nitrogenous wastes
Osmoregulation is the control of solute concentrations and water balance. Water moves by osmosis toward the side with higher solute concentration. Most marine invertebrates are osmoconformers, isoosmotic with seawater. Osmoregulators must actively manage the difference. A marine bony fish is hypoosmotic to seawater, so it constantly loses water and gains salt; it drinks seawater, excretes salt through its gills, and makes little, concentrated urine. A freshwater fish is hyperosmotic to its surroundings, so it gains water and loses salt; it drinks almost nothing, makes large volumes of dilute urine, and actively takes up salt through its gills.
Breaking down proteins and nucleic acids releases nitrogen as ammonia (NH3), which is very toxic. Animals excrete nitrogen in one of three forms, and the choice reflects a trade off between water and energy.
| Waste | Toxicity | Water needed | Energy cost | Typical animals |
|---|---|---|---|---|
| Ammonia | High | Large amounts; must be diluted at once | Lowest | Most aquatic animals, bony fishes |
| Urea | Low | Moderate | Moderate (made in the liver by the urea cycle) | Mammals, most amphibians, sharks |
| Uric acid | Very low | Very little; excreted as a paste | Highest | Insects, land snails, reptiles including birds |
Excretory systems and the nephron
Most excretory systems make urine by the same four steps: filtration of body fluid, reabsorption of valuable substances back into the body, secretion of additional wastes into the filtrate, and excretion of the final urine. Vertebrates use kidneys.
Each human kidney contains about a million nephrons. Blood enters a ball of capillaries, the glomerulus, under high pressure, and water and small solutes (glucose, salts, amino acids, urea) are filtered into the cup shaped Bowman's capsule; blood cells and large proteins stay behind. The kidneys filter roughly 180 liters of fluid per day, yet only about 1.5 liters leave as urine, so about 99 percent is reabsorbed. In the proximal tubule, nearly all glucose and amino acids and most of the salt and water are reabsorbed, while drugs, toxins and H+ are secreted. The loop of Henle creates a salt gradient in the kidney medulla: the descending limb is permeable to water but not salt, and the ascending limb is permeable to salt but not water, actively pumping NaCl out in its thick part. This countercurrent multiplier makes the deep medulla very salty. The distal tubule fine tunes K+, NaCl and pH. Finally, filtrate passes down the collecting duct through the salty medulla, and water leaves by osmosis if the duct is permeable, concentrating the urine.
Hormones adjust kidney output. Antidiuretic hormone (ADH, vasopressin), released from the posterior pituitary when blood osmolarity rises, inserts water channels called aquaporins into the collecting duct, so more water is reabsorbed and urine becomes concentrated. When blood pressure or volume falls, the kidney releases renin, starting the renin angiotensin aldosterone system (RAAS). Angiotensin II constricts arterioles and stimulates the adrenal glands to release aldosterone, which increases Na+ reabsorption in the distal tubule and collecting duct; water follows and blood volume rises.
The endocrine system: hormones and their receptors
Hormones are signaling molecules secreted into the blood that act on target cells carrying the matching receptor.
Hormones fall into chemical classes whose solubility determines how they work. Water soluble hormones, which include polypeptides (insulin, glucagon) and amines derived from amino acids such as epinephrine, cannot cross the membrane, so they bind cell surface receptors and act through signal transduction pathways and second messengers such as cyclic AMP; their effects are usually fast changes in existing proteins. Lipid soluble hormones, including steroids (cortisol, estradiol, testosterone, aldosterone) and thyroid hormone, diffuse through the membrane and bind intracellular receptors; the hormone receptor complex acts as a transcription factor, changing gene expression, so effects are slower and longer lasting.
The hypothalamus and pituitary
The hypothalamus in the brain links the nervous and endocrine systems. It controls the pituitary gland, which has two parts. The posterior pituitary is an extension of the brain: hypothalamic neurons make oxytocin and ADH, send them down their axons, and release them into the blood there. The anterior pituitary is true glandular tissue controlled by releasing and inhibiting hormones that the hypothalamus secretes into a small portal blood system. In turn, the anterior pituitary releases tropic hormones that act on other endocrine glands, creating hormone cascades. For example, thyrotropin releasing hormone (TRH) from the hypothalamus causes the anterior pituitary to release thyroid stimulating hormone (TSH), which causes the thyroid to release thyroid hormone (T3 and T4). Thyroid hormone then feeds back to inhibit both the hypothalamus and pituitary, a classic negative feedback loop.
Blood glucose regulation shows antagonistic hormones at work. After a meal, rising glucose stimulates beta cells of the pancreatic islets to release insulin, which promotes glucose uptake by most body cells and glycogen synthesis in the liver, lowering blood glucose. Between meals, falling glucose stimulates alpha cells to release glucagon, which causes the liver to break down glycogen and make new glucose. In type 1 diabetes, an autoimmune attack destroys beta cells, so insulin is absent; in type 2 diabetes, much more common, target cells respond poorly to insulin.
Innate immunity gives fast, broad protection through barriers, phagocytes, inflammation and antimicrobial proteins; adaptive immunity uses rearranged receptors on B and T cells, clonal selection and memory to target specific antigens. Excretory systems filter, reabsorb and secrete; the nephron's loop of Henle and ADH controlled collecting duct let mammals make concentrated urine, and the form of nitrogenous waste reflects water availability. Hormones act according to solubility: water soluble hormones use surface receptors and second messengers, lipid soluble hormones change gene expression, and the hypothalamus and pituitary coordinate much of the system through negative feedback.
Section 4Nervous systems, sensation and movement
Neurons and nervous system organization
Nervous systems range from the diffuse nerve net of a hydra to the centralized brains of vertebrates and octopuses. Vertebrates have a central nervous system (CNS: brain and spinal cord) and a peripheral nervous system (PNS: nerves and ganglia outside it). Its motor side splits into the somatic system, which controls skeletal muscle, and the autonomic system, whose sympathetic ("fight or flight") and parasympathetic ("rest and digest") divisions control smooth muscle, cardiac muscle and glands.
A neuron receives signals on branched dendrites and its cell body, integrates them at the axon hillock, and sends output down a single axon to synaptic terminals. Glia support neurons; in vertebrates, oligodendrocytes (CNS) and Schwann cells (PNS) wrap axons in an insulating myelin sheath. Gaps in the myelin, the nodes of Ranvier, are where action potentials are regenerated.
The resting membrane potential
Every cell has a voltage across its membrane, inside negative. In a resting neuron it is about -70 mV. Two things create it. The sodium potassium pump uses ATP to move 3 Na+ out for every 2 K+ in, building high K+ inside and high Na+ outside. Then, at rest, many potassium leak channels are open but few sodium channels are. K+ diffuses out down its gradient, leaving behind negatively charged proteins and other anions, until the inside becomes negative enough to hold K+ back. The resting potential therefore sits close to the potassium equilibrium potential (about -90 mV), pulled slightly upward by a small Na+ leak.
The action potential
A stimulus that makes the inside less negative is a depolarization; one that makes it more negative is a hyperpolarization. Small, graded changes fade with distance. But if depolarization at the axon hillock reaches threshold (about -55 mV), voltage gated sodium channels open, Na+ rushes in, and the membrane depolarizes further, opening more channels: positive feedback. The membrane potential spikes to about +30 to +40 mV. Then sodium channels inactivate, and slower voltage gated potassium channels open, so K+ flows out and repolarizes the membrane, briefly overshooting to an undershoot (after hyperpolarization). The action potential is all or none: its size does not depend on stimulus strength. Stimulus strength is coded instead by the frequency of action potentials.
Inactivated sodium channels cannot reopen for a moment, the refractory period, so an action potential travels only away from where it started. Conduction is faster in axons of larger diameter and much faster in myelinated axons, where the action potential jumps from node to node, called saltatory conduction.
Synapses and neurotransmitters
Most synapses are chemical. When an action potential reaches the terminal, voltage gated Ca2+ channels open, Ca2+ enters, and synaptic vesicles fuse with the membrane and release neurotransmitter into the synaptic cleft. The transmitter binds receptors on the postsynaptic cell, often ligand gated ion channels. If they let Na+ in, they produce an excitatory postsynaptic potential (EPSP); if they let Cl- in or K+ out, an inhibitory postsynaptic potential (IPSP). A neuron sums thousands of these inputs over space and time (summation) and fires only if the hillock reaches threshold. The signal ends when transmitter is broken down (acetylcholinesterase destroys acetylcholine) or taken back up into the terminal.
Sensory reception
Sensory receptors convert a stimulus into a change in membrane potential, a step called sensory transduction, producing a receptor potential whose size reflects stimulus strength. Information is coded by which receptors fire (which tells the brain the type and location of the stimulus) and by how often they fire (intensity). Receptors are grouped by the energy they detect.
| Receptor type | Stimulus | Examples |
|---|---|---|
| Mechanoreceptors | Pressure, stretch, sound, motion | Hair cells of the ear and lateral line, touch receptors, muscle spindles |
| Chemoreceptors | Molecules | Taste buds, olfactory neurons, blood CO2 and pH sensors |
| Electromagnetic receptors | Light, electricity, magnetism | Rods and cones, shark electroreceptors, magnetic sense in migrating birds |
| Thermoreceptors | Heat and cold | Skin receptors; pit organs of rattlesnakes detect infrared |
| Nociceptors | Damaging stimuli | Pain receptors in skin and organs |
In the mammalian ear, sound waves vibrate the eardrum and three middle ear bones, which push fluid in the snail shaped cochlea. Vibrations bend the stereocilia of hair cells, opening ion channels. In the vertebrate eye, the lens focuses light on the retina. Rods are very sensitive and work in dim light but do not see color; cones provide color and sharp vision in bright light. Both use a pigment of retinal (made from vitamin A) bound to an opsin protein; light changes retinal's shape, triggering a cascade that, unusually, hyperpolarizes the photoreceptor.
Muscle contraction and movement
A skeletal muscle is a bundle of long, multinucleate muscle fibers, each packed with myofibrils. Myofibrils are chains of repeating units called sarcomeres, the basic contractile units, bordered by Z lines. Thin filaments of actin are anchored at the Z lines; thick filaments of myosin sit in the middle. In the sliding filament model, neither filament shortens; instead the thin filaments slide past the thick ones toward the center of the sarcomere, so the sarcomere shortens.
The power comes from myosin heads. A head hydrolyzes ATP and is "cocked" into a high energy position. It binds actin, forming a cross bridge, then releases ADP and phosphate and pivots in the power stroke, pulling the thin filament. A new ATP binding releases the head from actin, and the cycle repeats. Without ATP, heads cannot detach (rigor mortis).
Contraction is switched on by calcium. At rest, the protein tropomyosin covers the myosin binding sites on actin, held in place by the troponin complex. A motor neuron releases acetylcholine at the neuromuscular junction, triggering an action potential in the muscle fiber that spreads down transverse (T) tubules and causes the sarcoplasmic reticulum to release Ca2+. Calcium binds troponin, tropomyosin shifts, binding sites are exposed and cross bridge cycling begins. When stimulation stops, Ca2+ is pumped back into the sarcoplasmic reticulum, and the muscle relaxes. Force is graded by recruiting more motor units (a motor neuron and all the fibers it controls) and by increasing firing frequency until twitches fuse into sustained tetanus.
Neurons hold a resting potential of about -70 mV set by the Na+/K+ pump and potassium leak; reaching threshold triggers an all or none action potential driven by voltage gated Na+ and K+ channels, which myelin speeds by saltatory conduction. Chemical synapses convert the electrical signal to a transmitter that excites or inhibits the next cell. Sensory receptors transduce stimuli into receptor potentials, and muscles contract when calcium uncovers actin so ATP powered myosin heads slide thin filaments past thick ones.
Section 5Animal reproduction and development
Asexual and sexual reproduction
In asexual reproduction one parent produces genetically identical offspring by fission (sea anemones splitting), budding (hydra), fragmentation and regeneration (sea stars, some worms) or parthenogenesis, the development of an unfertilized egg (some bees, lizards, aphids). Sexual reproduction combines a haploid egg and sperm into a diploid zygote. It produces genetically varied offspring, which may help populations keep pace with changing environments and evolving parasites.
Fertilization may be external, with gametes released into water as in most fishes and amphibians, or internal, with sperm placed in the female's reproductive tract, an adaptation to life on land.
Gametogenesis in humans
Spermatogenesis occurs continuously in the seminiferous tubules of the testes after puberty. A diploid spermatogonium divides by mitosis; one daughter becomes a primary spermatocyte, which completes meiosis I and II to produce four haploid spermatids that mature into sperm. About 100 million or more sperm are made per day. Oogenesis differs in three ways. It begins before birth, when primary oocytes enter meiosis I and then arrest in prophase I for years. Meiosis is completed one oocyte at a time: after puberty, each cycle an oocyte finishes meiosis I just before ovulation and arrests at metaphase II, completing meiosis II only if a sperm enters. And the divisions are unequal, so each produces one large egg and small polar bodies that degenerate, concentrating cytoplasm in the egg.
Hormones of the reproductive cycles
Reproduction is governed by the hypothalamic pituitary gonadal axis. The hypothalamus releases GnRH, which makes the anterior pituitary release FSH and LH. In males, FSH supports sperm production by Sertoli cells, and LH stimulates Leydig cells to make testosterone, which feeds back negatively on the hypothalamus and pituitary. In females the ovarian cycle and uterine (menstrual) cycle run together over about 28 days. In the follicular phase, FSH and LH stimulate a follicle to grow and secrete estradiol. Low estradiol inhibits the pituitary, but when estradiol rises high enough it switches to positive feedback, producing the LH surge that triggers ovulation around day 14. In the luteal phase, the empty follicle becomes the corpus luteum, which secretes progesterone and estradiol; these maintain the thickened endometrium and inhibit FSH and LH. Without pregnancy the corpus luteum degenerates, hormone levels drop and the endometrium is shed in menstruation. If an embryo implants, it secretes human chorionic gonadotropin (hCG), which keeps the corpus luteum alive; hCG is what pregnancy tests detect.
Fertilization and cleavage
At fertilization, the sperm's acrosome releases enzymes that digest a path through the egg's coats (in mammals the zona pellucida). Fusion of sperm and egg membranes triggers blocks to polyspermy. Fusion also activates the egg's metabolism and, in mammals, completes meiosis II, after which the two haploid nuclei combine.
Cleavage is a series of rapid mitotic divisions without growth, dividing the zygote into many smaller cells called blastomeres. A solid ball of cells, the morula, becomes a hollow blastula with a fluid filled cavity, the blastocoel. In mammals the blastula stage is called the blastocyst, an outer layer, the trophoblast, that will help form the placenta, around an inner cell mass that becomes the embryo itself and is the source of embryonic stem cells.
Gastrulation and organogenesis
Gastrulation rearranges the blastula into a three layered embryo, the gastrula. In a sea urchin, cells at one pole fold inward to form the archenteron (primitive gut), whose opening is the blastopore; in deuterostomes such as sea urchins and vertebrates, the blastopore becomes the anus. The result is three germ layers.
| Germ layer | Position | Gives rise to |
|---|---|---|
| Ectoderm | Outer | Epidermis, hair, nails, nervous system, lens of eye, tooth enamel |
| Mesoderm | Middle | Notochord, muscle, bone, heart, blood vessels, blood, kidneys, gonads |
| Endoderm | Inner | Lining of gut and respiratory tract, liver, pancreas, thyroid |
Organogenesis builds organs from the germ layers. In vertebrates, the mesoderm forms a rod, the notochord, which signals the ectoderm above it to thicken into the neural plate. The plate folds into the neural tube, which becomes the brain and spinal cord; failure to close causes spina bifida, whose risk is lowered by folic acid. Mesoderm beside the notochord forms blocks called somites, which give rise to vertebrae and skeletal muscles. Development is driven by cell movement, induction (one group of cells changing the fate of another by signaling), apoptosis (programmed death, which separates fingers), and differential gene expression under Hox genes that specify position along the head to tail axis.
Reptiles, birds and mammals are amniotes: their embryos are surrounded by four extraembryonic membranes, the amnion (fluid filled cushion), chorion (gas exchange), yolk sac and allantois (waste storage). In placental mammals the chorion and maternal tissue form the placenta, where nutrients, gases and wastes are exchanged without the two bloods mixing.
Sexual reproduction makes variable offspring through meiosis and fertilization; spermatogenesis yields four sperm continuously, while oogenesis yields one egg per cycle after long meiotic arrests. GnRH, FSH, LH and the gonadal steroids coordinate the cycles, with an estradiol triggered LH surge causing ovulation. Development proceeds from cleavage to a blastula, gastrulation into three germ layers, and organogenesis guided by induction, Hox genes and programmed cell death.
The chapter in one breath
- Bodies are built from epithelial, connective, muscle and nervous tissue; large animals beat the falling surface area to volume ratio with folded exchange surfaces and circulation.
- Homeostasis holds variables near set points mostly by negative feedback; positive feedback drives events such as birth to completion.
- Endotherms make their own heat, ectotherms borrow it; all exchange heat by radiation, conduction, convection and evaporation.
- Food is ingested, digested by hydrolysis, absorbed mainly across the villi of the small intestine, and the remains eliminated.
- Closed circulation and a four chambered heart with double circulation deliver blood under high pressure; the SA node sets the rhythm.
- Gas exchange needs thin, moist, large surfaces; countercurrent exchange in gills and cooperative hemoglobin binding maximize oxygen transfer.
- Innate immunity is fast and broad; adaptive immunity uses B and T cells, clonal selection and memory cells.
- Nephrons filter, reabsorb and secrete; the loop of Henle and ADH let mammals concentrate urine.
- Water soluble hormones act through surface receptors, lipid soluble hormones through intracellular receptors; the hypothalamus and pituitary run many cascades.
- An action potential is an all or none spike driven by voltage gated Na+ and K+ channels; synapses pass the signal chemically.
- Muscles contract by the sliding filament mechanism, switched on when Ca2+ binds troponin.
- Development runs from cleavage to gastrulation (three germ layers) to organogenesis.
Words worth knowing
| Term | What it means |
|---|---|
| Homeostasis | Maintenance of a relatively stable internal environment around set points. |
| Negative feedback | Control in which the response reduces the original stimulus, stabilizing a variable. |
| Positive feedback | Control in which the response amplifies the stimulus until an outside event ends it. |
| Endotherm | An animal warmed mainly by its own metabolic heat, such as a bird or mammal. |
| Ectotherm | An animal that gains most of its body heat from the environment. |
| Countercurrent exchange | Transfer of heat or a substance between two fluids flowing in opposite directions, keeping a gradient along the whole length. |
| Double circulation | Separate pulmonary and systemic circuits, each pumped by one side of the heart. |
| Sinoatrial node | The pacemaker region of the right atrium that sets heart rate. |
| Bohr shift | Lowering of hemoglobin's oxygen affinity by low pH, which unloads more oxygen in active tissue. |
| Antigen | A substance that triggers an adaptive immune response; the part bound is the epitope. |
| Clonal selection | Activation and proliferation of the lymphocyte whose receptor matches an antigen. |
| MHC molecule | A host protein that displays antigen fragments for T cells to inspect. |
| Nephron | The functional unit of the kidney, which filters blood and processes the filtrate into urine. |
| Antidiuretic hormone | Posterior pituitary hormone that inserts aquaporins in collecting ducts, increasing water reabsorption. |
| Action potential | An all or none reversal of membrane potential that travels along an axon. |
| Saltatory conduction | Jumping of action potentials between nodes of Ranvier in myelinated axons. |
| Sarcomere | The repeating contractile unit of a myofibril, between two Z lines. |
| Oogenesis | Formation of eggs; produces one egg and polar bodies from each meiosis. |
| Corpus luteum | The remains of an ovulated follicle, which secretes progesterone and estradiol. |
| Gastrulation | Rearrangement of the blastula into a three layered embryo. |
| Germ layers | Ectoderm, mesoderm and endoderm, the three embryonic layers that form all tissues. |
Check yourself
Ecology: Populations, Communities, Ecosystems and Conservation
Every organism you have met in this book lives somewhere, eats something, and is eaten, infected, crowded or helped by others. Ecology is the science of those relationships, scaled up from one population to the whole planet, and it explains why deserts sit where they do, why wolves can change a river, why lakes turn green, and why carbon from fossil fuels ends up in the ocean. It is also the science you will need to judge the biggest decisions of your lifetime about land, food, water, climate and the survival of species.
By the end of this chapter you can
- Distinguish the levels of ecological study and explain how uneven solar heating, air circulation and rain shadows shape global climate.
- Describe the major terrestrial biomes and aquatic zones and the abiotic factors that define them.
- Use exponential and logistic growth models, explain carrying capacity, and compare density dependent and density independent regulation.
- Interpret survivorship curves and life history trade offs, including r and K selection.
- Classify species interactions (competition, predation, herbivory, symbiosis) and explain the competitive exclusion principle and resource partitioning.
- Explain keystone species, trophic cascades and primary and secondary succession.
- Calculate energy transfer between trophic levels and contrast gross and net primary production.
- Trace the carbon, nitrogen, phosphorus and water cycles and identify human effects on each.
- Describe the main threats to biodiversity and the tools of conservation biology, and explain the causes and effects of climate change.
Section 1Ecology and the biosphere: climate and biomes
The scope of ecology
Ecology is the scientific study of the interactions between organisms and their environment. The environment includes abiotic (nonliving) factors such as temperature, water, light, soil and nutrients, and biotic (living) factors, meaning all the other organisms that affect an individual. Ecologists work at nested levels. Organismal ecology asks how an individual's anatomy, physiology and behavior fit its environment. Population ecology studies a population, a group of individuals of one species living in the same area, and asks what controls its size. Community ecology studies a community, all the populations of different species in an area, and how they interact. Ecosystem ecology adds the abiotic environment and follows energy flow and chemical cycling. Landscape ecology studies mosaics of connected ecosystems, and global ecology studies the biosphere, the sum of all the planet's ecosystems.
Ecology is an experimental and quantitative science, not a list of observations. Ecologists test hypotheses with field experiments (removing a predator from fenced plots), natural experiments (comparing islands of different sizes) and mathematical models. It also differs from environmentalism: ecology describes how nature works, while decisions about what to do with that knowledge involve values as well as science.
Why climate varies: sunlight and latitude
Climate is the long term pattern of temperature, precipitation, sunlight and wind in a region; weather is the short term condition. The single most important driver of global climate is that the sun heats the Earth unevenly. Near the equator, sunlight strikes the surface almost straight on, so a given amount of solar energy falls on a small area. Toward the poles, the same beam strikes at a low angle, spreads over a larger area and passes through more atmosphere, so each square meter receives less energy. The tropics are therefore warm year round, and the poles are cold.
Seasons exist because Earth's axis is tilted about 23.5 degrees relative to its orbit. As the planet orbits the sun, first the Northern and then the Southern Hemisphere tilts toward the sun, receiving more direct light and longer days. Seasons are not caused by changes in Earth's distance from the sun; in fact Earth is closest to the sun in early January, during the northern winter.
Global air circulation and precipitation
Uneven heating drives air movement. At the equator, intense heating warms the air, and warm air holds more water vapor. This moist air rises; as it rises it expands and cools, and cool air holds less water, so the vapor condenses and falls as heavy rain. That is why tropical rain forests lie near the equator. The now dry air flows toward the poles high in the atmosphere and sinks at about 30 degrees north and south latitude. Sinking air compresses and warms, absorbing moisture from the land, so the great deserts of the world (the Sahara, the Arabian, the Australian interior, the Sonoran) cluster near 30 degrees. Part of this air returns toward the equator along the surface, completing a loop called a Hadley cell. Similar circulation cells rise near 60 degrees, bringing moderate precipitation to temperate forests, and sink near the poles, which are therefore cold deserts.
Because Earth rotates, surface winds are deflected (the Coriolis effect), producing the easterly trade winds in the tropics and the westerlies in the temperate zones. These winds drive surface ocean currents, which carry heat from the tropics toward the poles and strongly shape regional climate. The Gulf Stream, for example, keeps western Europe far milder than places at the same latitude in eastern Canada.
Regional and local effects
Large bodies of water moderate climate because water has a high specific heat: it warms and cools slowly. Coastal areas therefore have milder winters and cooler summers than inland areas at the same latitude. In a Mediterranean climate, cool ocean currents produce mild wet winters and hot dry summers. Mountains also change climate. Air temperature falls roughly 6 °C for every 1,000 meters of elevation, so climbing a mountain is ecologically like traveling toward the poles. When moist air meets a mountain range, it rises, cools and drops its rain on the windward side; the descending air on the leeward side is warm and dry, creating a rain shadow. The deserts east of the Sierra Nevada and Cascade Ranges are rain shadow deserts. At the smallest scale, microclimates under a log, beneath a forest canopy or on a north facing slope differ enough to determine which organisms can live there.
Terrestrial biomes
A biome is a major life zone characterized by its dominant vegetation (on land) or by its physical environment (in water). Terrestrial biomes are determined mainly by temperature and precipitation, and especially by their seasonal pattern; a climograph plots annual mean temperature against annual precipitation and shows where each biome falls. Biomes grade into one another through transition zones called ecotones, and disturbance such as fire, storms and human land use shapes them as much as climate does. Many grasslands and savannas, for example, are kept free of trees by periodic fires and grazing.
| Biome | Climate | Vegetation and soils | Notable features |
|---|---|---|---|
| Tropical rain forest | Warm all year; 200 to 400 cm rain | Layered broadleaf evergreen canopy; nutrient poor soils because nutrients are held in living biomass | Highest terrestrial diversity; heavily cleared for agriculture |
| Tropical dry forest | Warm; long dry season | Drought deciduous trees, thorny shrubs | Much converted to farmland |
| Savanna | Warm; seasonal rain, 30 to 50 cm in places | Grasses with scattered trees; fire adapted | Large grazing mammals and their predators |
| Desert | Under 30 cm rain; hot or cold | Succulents, deep rooted shrubs; CAM and C4 plants | Animals conserve water, many nocturnal |
| Chaparral | Mild wet winters, hot dry summers | Dense spiny evergreen shrubs; fire adapted seeds | Mediterranean climate coasts |
| Temperate grassland | Cold winters, hot summers, 30 to 100 cm rain | Grasses; deep, very fertile soils | Most converted to cropland (prairie, steppe) |
| Temperate broadleaf forest | Distinct seasons, about 70 to 200 cm rain | Deciduous trees that drop leaves in winter | Many mammals hibernate; heavily settled |
| Northern coniferous forest (taiga) | Long cold winters, short summers | Cone bearing evergreens (spruce, pine, fir) | Largest terrestrial biome; moose, lynx |
| Tundra | Very cold, low precipitation, short growing season | Mosses, lichens, grasses, dwarf shrubs; permafrost below | Arctic and alpine; warming fastest |
Aquatic biomes
Aquatic biomes cover about three quarters of the planet and are defined by salinity, depth, light and water movement. Water absorbs light quickly, so the upper photic zone has enough light for photosynthesis, while the deeper aphotic zone does not. The bottom surface is the benthic zone, home to organisms called the benthos, and much of the food that reaches the deep benthos is detritus sinking from above. In many lakes and oceans a narrow layer of rapid temperature change, the thermocline, separates warm surface water from cold deep water. In temperate lakes, the surface water cools in autumn and warms in spring until it matches the deep water, and wind then mixes the whole lake in a turnover that carries oxygen down and nutrients up.
- Lakes range from oligotrophic (deep, nutrient poor, clear, oxygen rich) to eutrophic (shallow, nutrient rich, cloudy with phytoplankton, often low in oxygen at depth).
- Wetlands (marshes, swamps, bogs) are among the most productive ecosystems, filter pollutants and buffer floods.
- Streams and rivers change from cold, clear, oxygen rich headwaters to warmer, murkier, nutrient rich lower reaches.
- Estuaries, where rivers meet the sea, have variable salinity and are nurseries for many fishes and shellfish.
- Intertidal zones are alternately covered and exposed by tides, so organisms there must tolerate drying and wave action.
- The oceanic pelagic zone is the open blue water, with plankton, fishes and whales; much of it is nutrient poor.
- Coral reefs are built by corals whose cells host photosynthetic dinoflagellate algae; they need warm, clear, shallow water and are extremely diverse.
- The marine benthic zone includes the deep sea floor, where hydrothermal vent communities rely on chemoautotrophic prokaryotes rather than sunlight.
Ecology studies interactions from organisms to the biosphere. Uneven solar heating creates circulation cells in which rising air drops rain at the equator and near 60 degrees and sinking air dries the land near 30 degrees and at the poles; oceans, mountains and microclimates modify this pattern. Temperature and precipitation determine terrestrial biomes, while light, depth, salinity and nutrients define aquatic biomes.
Section 2Population ecology: growth and regulation
Density, dispersion and demography
Two basic properties describe a population. Density is the number of individuals per unit area or volume. Ecologists rarely count everyone; they sample plots or use the mark recapture method. In mark recapture, a researcher captures, marks and releases s individuals, later captures a second sample of n individuals, and counts the x marked ones among them. Assuming marked animals mix randomly, the population size N is estimated as N = s × n / x. If 50 fish are marked and a later sample of 40 contains 10 marked fish, N is about 50 × 40 / 10 = 200.
Dispersion is the spacing pattern of individuals. A clumped pattern, the most common, occurs where resources are patchy or where animals gain from groups (herds, schools). A uniform pattern usually results from direct interactions such as territoriality or chemical inhibition among plants. A random pattern, uncommon, occurs where individuals neither attract nor repel one another, like dandelions from windblown seeds.
Density changes through four processes: births and immigration add individuals; deaths and emigration remove them. Demography is the study of these vital rates. A life table follows a cohort, a group of individuals of the same age, from birth until all have died, recording survivorship and reproduction at each age. Plotting the number surviving against age on a logarithmic scale gives a survivorship curve.
| Survivorship curve | Pattern of death | Typical life history | Examples |
|---|---|---|---|
| Type I | Low mortality early and in middle life, steep drop in old age | Few offspring, much parental care | Humans, elephants, many large mammals |
| Type II | Roughly constant death rate at every age | Intermediate | Many songbirds, some lizards, rodents |
| Type III | Very high mortality among the young, then high survival for the few that remain | Huge numbers of offspring, little or no care | Oysters, many fishes, most plants |
Exponential growth
If immigration and emigration are ignored, the change in population size over a short time is births minus deaths. Expressed per individual, the per capita rate of increase r equals the per capita birth rate minus the per capita death rate. When r is constant, the population grows according to the model
dN/dt = rmaxN
where N is population size and rmax is the intrinsic rate of increase, the maximum per capita rate under ideal conditions. Because the growth rate is proportional to N, the larger the population, the more individuals are added per unit time, so the curve is J shaped. Exponential growth happens when a population is introduced to a new, resource rich environment or rebounds after a catastrophe. Elephants in Kruger National Park grew nearly exponentially for decades after hunting was banned; the whooping crane recovered the same way from about 15 birds. No population can grow exponentially for long, because resources run out.
Logistic growth and carrying capacity
The carrying capacity, symbolized K, is the maximum population size that a particular environment can sustain. It is set by limiting resources such as food, water, nesting sites or shelter and can change as the environment changes. The logistic model adds this limit:
dN/dt = rmaxN (K − N)/K
The term (K − N)/K is the fraction of the carrying capacity still available. When N is small, it is close to 1 and growth is nearly exponential. As N approaches K, it approaches zero and growth slows to a stop. The result is an S shaped (sigmoid) curve. The number of individuals added per unit time is greatest at K/2, where the population is large enough to add many offspring but not yet crowded, which is why fisheries managers have tried to hold harvested stocks near half their carrying capacity (the idea behind maximum sustainable yield).
Real populations only approximate the logistic curve. Many overshoot K and then crash, or oscillate around it, because of time lags between a change in resources and the population's response. Some species have an Allee effect: at very low density individuals struggle to find mates or defend themselves, so small populations can decline even with plenty of resources, an important concern in conservation.
Life history traits and trade offs
An organism's life history is its schedule of reproduction and survival: the age of first reproduction, how often it breeds, and how many offspring it produces each time. Because energy and time are limited, life histories involve trade offs between reproduction and survival, and between offspring number and the care or resources invested in each. Some species are semelparous (big bang reproducers), breeding once and dying, such as Pacific salmon and agave plants; others are iteroparous, breeding repeatedly, such as most mammals and oak trees. Semelparity tends to be favored where adult survival is low or unpredictable.
Ecologists have described two broad strategies. r selection favors traits that maximize reproductive rate, common in unpredictable or newly disturbed environments where populations are often well below carrying capacity. K selection favors traits that help individuals compete and survive when populations are near carrying capacity. Most species fall somewhere between, and the scheme is a simplification, but it summarizes useful correlations.
| Trait | r selected | K selected |
|---|---|---|
| Environment | Unstable, disturbed | Stable, crowded |
| Population size | Often well below K, fluctuating | Near K |
| Offspring | Many, small, little care | Few, large, much care |
| Maturity and life span | Early, short | Late, long |
| Survivorship curve | Usually type III | Usually type I |
| Examples | Weeds, insects, mice, bacteria | Elephants, whales, oaks, humans |
Population regulation
What keeps a population from growing forever? Density independent factors affect the per capita birth or death rate regardless of density; frost, drought, floods and fires kill a similar fraction whether a population is sparse or dense. Density dependent factors change in strength as density changes, typically raising death rates or lowering birth rates as a population grows. Only density dependent factors produce true regulation, a negative feedback that pulls a population toward K. They include:
- Competition for resources: crowding reduces food per individual and lowers reproduction.
- Territoriality: limited territories cap the number of breeders.
- Disease: pathogens spread faster in dense populations.
- Predation: predators may switch to and concentrate on abundant prey.
- Toxic wastes: ethanol accumulation limits yeast in fermentation.
- Intrinsic factors: in crowded mice, stress hormones can delay maturation and suppress reproduction.
Some populations show regular boom and bust cycles. The snowshoe hare and lynx of northern forests rise and fall on a roughly 10 year cycle. Field experiments suggest the hare cycle is driven mainly by predation (with food supply playing a smaller role), and the lynx cycle follows the hares. A metapopulation is a network of local populations linked by migration, in which some patches go extinct and are recolonized; its persistence depends on that movement.
Human population growth
The human population grew slowly for most of history, then rapidly after the industrial revolution as death rates fell with better food, sanitation and medicine. It passed 8 billion people in the early 2020s. Global growth rates peaked in the 1960s at about 2 percent per year and have since fallen to under 1 percent, so the population is still growing, but more slowly. The demographic transition describes the shift from high birth and death rates to low birth and death rates as countries develop; death rates fall first, causing a period of rapid growth, and birth rates follow. Age structure diagrams show the proportion of people in each age class: a broad base predicts continued growth, while a column or narrow base predicts stability or decline. Humans' ecological footprint, the land and water area needed to supply a population's resources and absorb its wastes, varies more than tenfold between countries, so the effect of a population depends on consumption as well as numbers.
Population size depends on births, deaths, immigration and emigration. Unlimited populations grow exponentially (J curve), but limited resources produce logistic growth (S curve) that levels off at the carrying capacity K. Life histories reflect trade offs between offspring number and investment, and density dependent factors such as competition, disease and predation regulate populations through negative feedback.
Section 3Community ecology: interactions and succession
Classifying interactions
Populations in a community affect one another through interspecific interactions. Ecologists classify them by their effect on each partner's survival and reproduction: positive (+), negative (−) or no effect (0).
| Interaction | Effects | Description | Example |
|---|---|---|---|
| Competition | −/− | Both species use a limiting resource | Weeds and crops competing for nitrogen |
| Predation | +/− | One species kills and eats the other | Lynx eating hares |
| Herbivory | +/− | An animal eats parts of a plant or alga | Grasshoppers on grass, sea urchins on kelp |
| Parasitism | +/− | A parasite feeds on a host, usually without killing it quickly | Tapeworms, ticks, malaria parasites |
| Mutualism | +/+ | Both partners benefit | Mycorrhizal fungi and plant roots; pollinators and flowers |
| Commensalism | +/0 | One benefits, the other is unaffected | Cattle egrets feeding on insects stirred up by grazers |
Parasitism, mutualism and commensalism are forms of symbiosis, a close, long term association between species. Note that symbiosis does not by itself mean mutual benefit. Many relationships also shift with conditions; mycorrhizae can become parasitic when soil nutrients are abundant.
Competition and the niche
An organism's ecological niche is the full set of biotic and abiotic resources it uses and the conditions it tolerates: its role in the community, not just its address. Its fundamental niche is what it could occupy without competitors; its realized niche is the smaller portion it actually occupies in the presence of competitors. Joseph Connell showed this with two barnacles on Scottish rocky shores. Chthamalus lives on the upper rocks and Balanus lower down. When Connell removed Balanus, Chthamalus spread down into the lower zone, showing that its realized niche was restricted by competition. Removing Chthamalus did not let Balanus spread up, because Balanus cannot tolerate drying on the upper rocks.
The competitive exclusion principle, demonstrated by G. F. Gause with two species of Paramecium, states that two species competing for exactly the same limiting resources cannot coexist indefinitely; the slightly more efficient competitor eventually eliminates the other locally. Species with similar needs coexist only if their niches differ. Resource partitioning is the division of resources that allows this, such as several Anolis lizard species perching at different heights or in sun versus shade on the same trees. When two closely related species are compared, their traits often differ more where they live together (sympatric) than where they live apart (allopatric), a pattern called character displacement. The beak depths of Galápagos ground finches are the classic example.
Predation, herbivory and defenses
Predation selects for adaptations in both predator and prey. Predators have sharp senses, speed, claws, venom and camouflage. Prey defend themselves with behavior (hiding, fleeing, alarm calls, group defense) and with morphological and chemical defenses. Cryptic coloration (camouflage) makes prey hard to see. Aposematic coloration, bright warning color, advertises chemical defenses, as in poison dart frogs and monarch butterflies. In Batesian mimicry, a harmless species copies a harmful one (the nonvenomous scarlet kingsnake resembles the venomous coral snake). In Müllerian mimicry, two or more unpalatable species resemble each other, so predators learn to avoid all of them faster (many stinging bees and wasps share yellow and black bands). Plants defend against herbivores with thorns and with chemicals such as nicotine, morphine, tannins and the mustard oils that give spices their bite. The ongoing reciprocal adaptation between interacting species is coevolution.
Species diversity and community structure
Species diversity has two parts: species richness, the number of different species, and relative abundance, the proportion each species represents. A forest with 100 trees of five species split 20 each is more diverse than one with the same five species split 96, 1, 1, 1 and 1. Ecologists summarize both with indices such as the Shannon diversity index. Diverse communities tend to be more productive and more stable, and they are more resistant to invasive species.
Community structure depends heavily on feeding relationships. A food chain traces one path of energy transfer; a food web shows the many interlinked chains in a community. Food chains are usually short, rarely more than five links, largely because so much energy is lost at each step (Section 4).
Some species have outsized effects. Dominant species are the most abundant or have the greatest biomass, like sugar maples in some forests. A keystone species is not necessarily abundant but has a strong effect through its ecological role. Robert Paine removed the predatory sea star Pisaster from experimental stretches of rocky shore, and the mussels it ate took over, crowding out other species; richness dropped from more than 15 species to fewer than 5. Ecosystem engineers (foundation species) physically change the environment, as beavers do when they build dams that convert forest streams into ponds and wetlands.
Control can flow up or down the food web. In bottom up control, nutrient supply sets the abundance of producers, which set the abundance of herbivores, and so on up. In top down control, predators control herbivores, which control plants. A trophic cascade is a top down effect that alternates across levels. Where sea otters were hunted out of North Pacific kelp forests, sea urchins, their prey, exploded and grazed the kelp to bare "urchin barrens"; where otters returned, urchins declined and kelp forests recovered. Wolves reintroduced to Yellowstone are often cited as another case, although how strongly they changed riverside vegetation is still debated.
Disturbance and ecological succession
Communities are not static. Disturbances, events such as storms, fires, floods, droughts or human activities, change communities by removing organisms or altering resources. The intermediate disturbance hypothesis proposes that moderate levels of disturbance foster the greatest diversity: too little lets dominant competitors exclude others, too much allows only the hardiest, fast colonizing species to persist. Some ecosystems depend on disturbance; many pine forests and grasslands are maintained by periodic fire, and decades of fire suppression in such forests allowed fuel to build up, contributing to more severe wildfires.
After a disturbance, the species composition changes in a sequence called ecological succession. Primary succession begins in a virtually lifeless area where soil has not yet formed, such as new volcanic rock or the ground exposed by a retreating glacier. Prokaryotes, lichens and mosses arrive first as pioneer species, weathering rock and adding organic matter that slowly builds soil. Grasses, shrubs and finally trees follow over centuries. Secondary succession occurs where an existing community has been cleared but the soil remains, as after a fire or the abandonment of a farm field. It proceeds much faster, often from weeds to shrubs to forest within decades.
Early species can affect later ones in three ways. They may facilitate later arrivals by improving soil, as when nitrogen fixing alders enrich the soil for spruce at Glacier Bay, Alaska; they may inhibit them by competing; or they may have little effect (tolerance). Succession was once thought to end in a fixed climax community, but ecologists now recognize that continual disturbance means most communities are a shifting mosaic of patches at different stages.
Species interact through competition (−/−), predation, herbivory and parasitism (+/−), mutualism (+/+) and commensalism (+/0). Competition limits species to realized niches and drives resource partitioning, while predation shapes defenses and mimicry. Keystone species, ecosystem engineers and trophic cascades show how one species can restructure a community, and disturbance followed by primary or secondary succession keeps communities in constant change.
Section 4Ecosystems: energy flow and nutrient cycles
Two laws, two processes
An ecosystem is a community plus its physical environment. Two processes tie it together: energy flow and chemical cycling. Energy enters most ecosystems as sunlight, is converted to chemical energy by autotrophs, passes to heterotrophs in food, and leaves as heat. Because the first law of thermodynamics says energy cannot be created or destroyed, and the second law says every transformation loses some energy as heat, energy moves one way through an ecosystem and must be continually replaced by the sun. Chemical elements, by contrast, are conserved (the law of conservation of mass) and cycle between the living and nonliving parts of the ecosystem.
Organisms are grouped into trophic levels by their main source of nutrition. Primary producers (autotrophs: plants, algae, cyanobacteria and, at vents, chemoautotrophs) make organic molecules. Primary consumers are herbivores; secondary consumers eat herbivores; tertiary consumers eat secondary consumers. Detritivores (decomposers), mainly prokaryotes and fungi along with earthworms and many insects, consume detritus, the dead organic matter of all levels. They release inorganic nutrients back to producers and are essential to every chemical cycle.
Primary production
Primary production is the amount of light energy converted to chemical energy by autotrophs during a given time. Gross primary production (GPP) is the total. Producers use part of it for their own respiration (R), and the rest is net primary production: NPP = GPP − R. NPP, typically about half of GPP, is the new biomass available to consumers, so it is the key measure. Only about 1 percent of the visible light reaching producers is converted to chemical energy.
Per unit area, the most productive ecosystems are tropical rain forests, estuaries, wetlands and coral reefs; the least productive are deserts, tundra and the open ocean. Because the open ocean is so vast, however, it contributes about as much to global NPP as all the land combined. Production is limited by different factors in different places. On land, temperature and moisture matter most, measured together as actual evapotranspiration. In the ocean and in lakes, production is usually limited by a limiting nutrient: often nitrogen in coastal seas, iron in parts of the open ocean, and phosphorus in many lakes. Experiments in which iron was added to patches of the Southern Ocean produced dramatic phytoplankton blooms.
| Term | Meaning | Relationship |
|---|---|---|
| Gross primary production (GPP) | Total chemical energy fixed by producers | Upper limit for the ecosystem |
| Net primary production (NPP) | GPP minus producer respiration | Food available to consumers |
| Net ecosystem production (NEP) | GPP minus respiration by all organisms | Positive means the ecosystem stores carbon |
| Secondary production | New biomass made by consumers | Limited by NPP and by consumer efficiency |
| Trophic efficiency | Production at one level divided by production at the level below | Usually about 10 percent |
Energy transfer and ecological pyramids
Consumers convert only a small fraction of the food they eat into their own new biomass. Of the energy in the plant material a caterpillar eats, roughly half passes out in feces, about a third is used in cellular respiration and lost as heat, and only about a sixth becomes caterpillar tissue. Endotherms, which spend much of their energy on keeping warm, convert an even smaller share. Across whole trophic levels, the trophic efficiency, the percentage of production transferred from one level to the next, ranges from about 5 to 20 percent and is commonly taught as 10 percent (the "10 percent rule"). Multiplying that loss over several steps explains why food chains are short and why top predators are rare. If producers make 10,000 kcal per square meter per year, primary consumers make about 1,000, secondary consumers about 100, and tertiary consumers about 10.
An energy pyramid shows these losses and always narrows upward. Biomass pyramids usually narrow too, but some aquatic ecosystems have inverted biomass pyramids: phytoplankton reproduce and are eaten so quickly that at any moment their standing biomass is smaller than that of the zooplankton that eat them, even though their production is far greater.
Biogeochemical cycles
Elements move among living organisms, the atmosphere, water, soil and rock in biogeochemical cycles. Each cycle has reservoirs, some available to organisms and some locked away (in rock or deep sediment), and processes that move elements between them. Gaseous cycles (carbon, nitrogen, water) are global; the phosphorus cycle has no significant gas phase and is more local.
| Cycle | Main reservoirs | Key processes | Biological importance | Human effects |
|---|---|---|---|---|
| Water | Oceans (about 97%), ice, groundwater, atmosphere | Evaporation, transpiration, condensation, precipitation, runoff | Medium of life; solvent | Irrigation, aquifer depletion, deforestation reducing transpiration |
| Carbon | Sedimentary rock, fossil fuels, oceans (dissolved), soil, biomass, atmospheric CO2 | Photosynthesis, respiration, decomposition, combustion, ocean exchange | Backbone of organic molecules | Burning fossil fuels and forests raises atmospheric CO2 |
| Nitrogen | Atmospheric N2 (about 78% of air), soils, sediments | Fixation, ammonification, nitrification, denitrification | Amino acids, nucleic acids | Industrial fertilizer has roughly doubled nitrogen inputs to land |
| Phosphorus | Sedimentary rock, soil, ocean sediments | Weathering, uptake, decomposition, sedimentation | ATP, nucleic acids, phospholipids, bone | Mined fertilizer and sewage drive eutrophication |
The carbon cycle
Photosynthesis by plants, algae and cyanobacteria removes CO2 from the atmosphere and ocean and builds it into organic molecules; cellular respiration by nearly all organisms returns it. These two fluxes are huge and roughly balanced. Much slower parts of the cycle store carbon for millions of years in limestone and in fossil fuels, the remains of ancient organisms. Burning fossil fuels moves carbon from that long term reservoir into the atmosphere far faster than natural processes remove it, and atmospheric CO2 has risen from about 280 parts per million before the industrial revolution to over 420 ppm today. Roughly a quarter of the extra CO2 dissolves in the ocean, forming carbonic acid and causing ocean acidification.
The nitrogen cycle
Nitrogen is abundant as N2 gas, but its triple bond makes it unusable by most organisms. It enters ecosystems mainly through nitrogen fixation, the conversion of N2 to ammonia (NH3) by certain prokaryotes, some free living and some, like Rhizobium, living in root nodules of legumes. Lightning fixes a little, and the industrial Haber Bosch process now fixes as much as all natural land processes combined. In soil, ammonia picks up a proton to become ammonium (NH4+). Ammonification by decomposers releases ammonium from dead organic matter. In nitrification, bacteria oxidize ammonium to nitrite (NO2−) and then nitrate (NO3−), the form most plants absorb most readily. Plants build the nitrogen into amino acids and nucleotides, which pass to consumers. Finally, under low oxygen conditions, denitrifying bacteria convert nitrate back to N2 (and some N2O, a greenhouse gas), closing the cycle.
The phosphorus and water cycles
Phosphorus has no important gaseous form. It weathers slowly from rock as phosphate (PO43−), is absorbed by plants, passes through food webs and returns to soil through decomposition. Much eventually washes to the sea and settles into sediments, where it may take millions of years to be uplifted as rock again. Because it is released so slowly, phosphate often limits production in freshwater. When fertilizer, detergent or sewage adds phosphorus and nitrogen to lakes, algae bloom; when they die, decomposers consume the dissolved oxygen, killing fish. This process, cultural eutrophication, also creates seasonal dead zones in coastal waters such as the Gulf of Mexico.
In the water cycle, solar energy drives evaporation from oceans and transpiration from plants; water vapor condenses and falls as precipitation, then returns to the sea as runoff or seeps into groundwater aquifers. More water evaporates from the oceans than falls on them, so the excess is carried over land, where it supports terrestrial life before draining back.
Energy flows one way through ecosystems, entering as light and leaving as heat, and only about 10 percent passes from one trophic level to the next; NPP, gross production minus producer respiration, sets the energy budget for all consumers. Matter cycles: prokaryotes run the nitrogen cycle, photosynthesis and respiration drive the carbon cycle, and phosphorus moves slowly from rock to organisms to sediment. Humans now move carbon, nitrogen and phosphorus on a scale that rivals natural processes.
Section 5Conservation biology and global change
Biodiversity at three levels
Biodiversity is the variety of life, and conservation biologists recognize it at three levels. Genetic diversity is the variation among individuals within a population and among populations of a species; it is the raw material for adaptation, and its loss leaves populations vulnerable to disease and environmental change. Species diversity is the variety of species in an ecosystem or across the planet. Scientists have named about 1.8 to 2 million species, and estimates of the true total, most of them insects and microbes, range far higher. Ecosystem diversity is the variety of ecosystems in the biosphere, each with its own interactions and services.
Species are going extinct far faster than the background rate seen in the fossil record, by many estimates hundreds to a thousand times faster, leading many biologists to describe the present as a sixth mass extinction. About one in four assessed mammal species and over 40 percent of assessed amphibians are threatened. Biodiversity matters for practical as well as ethical reasons. Many medicines come from wild organisms (the cancer drugs vincristine and vinblastine from the rosy periwinkle, aspirin's ancestor from willow bark), and wild relatives of crops carry genes for disease resistance. Ecosystems also provide ecosystem services: pollination, water purification, flood control, soil formation, carbon storage and fisheries, worth trillions of dollars a year. Many people also value biodiversity for its own sake, a feeling the biologist E. O. Wilson called biophilia.
The major threats
The main threats to biodiversity are often summarized with the acronym HIPPO.
| Threat | How it harms | Examples |
|---|---|---|
| Habitat loss and fragmentation | The single greatest threat; removes or divides the places species live | Clearing of tropical forest for cattle and crops; draining wetlands |
| Invasive species | Introduced species with no natural enemies outcompete, prey on or infect natives | Brown tree snake on Guam, kudzu, zebra mussels, chytrid fungus in amphibians |
| Pollution | Toxins, nutrients, plastics and pesticides damage organisms and ecosystems | DDT thinning raptor eggshells; nutrient driven dead zones |
| Population growth and consumption | Increasing human demand magnifies all other threats | Expansion of farmland and cities |
| Overharvesting | Taking organisms faster than they reproduce | Collapse of North Atlantic cod; poaching of elephants and rhinos |
Fragmentation breaks large habitats into small, isolated patches. Small patches hold fewer species, support smaller populations, and have a larger proportion of edge, where conditions such as light, wind, temperature and predation differ from the interior. Species that need deep forest interior suffer, while edge adapted species, such as cowbirds that lay their eggs in other birds' nests, increase. Pollutants can also undergo biological magnification: fat soluble toxins such as DDT, PCBs and methylmercury are not excreted, so they become more concentrated at each step up a food chain, reaching the highest levels in top predators such as eagles, tuna and orcas. Pregnant people are advised to limit certain predatory fish for this reason.
Conserving populations
Conservation biology integrates ecology, evolution, genetics and social science. One approach focuses on small populations. A small population is vulnerable to an extinction vortex: inbreeding and genetic drift reduce genetic diversity, which lowers fitness and reproduction, which shrinks the population further. The greater prairie chicken in Illinois fell to fewer than 50 birds with very low egg hatching rates; when biologists brought in birds from larger populations elsewhere, genetic variation and hatching success recovered. Conservation planners estimate a minimum viable population, the smallest size at which a species can likely sustain itself, and they pay attention to effective population size, the number of individuals that actually breed, which is often far smaller than the total count.
A second approach focuses on declining populations: identify why a population is declining, test the hypotheses, and remove the cause. The red cockaded woodpecker of the southeastern United States needs mature pine forest with little undergrowth for its nest cavities. When managers restored such habitat with controlled burns and drilled starter cavities, populations began to recover. Laws such as the U.S. Endangered Species Act and international agreements on wildlife trade protect listed species and their habitats.
Conserving landscapes and ecosystems
Increasingly, conservation targets whole landscapes. Biodiversity hot spots are relatively small areas with many endemic species (species found nowhere else) and many threatened species; together, hot spots covering a small percentage of land hold a large fraction of the world's plant and vertebrate species. Movement corridors, strips of habitat connecting isolated patches, allow migration and gene flow; highway underpasses and overpasses let animals cross roads safely. Protected areas and reserves are most effective when they are large enough to sustain populations of wide ranging species and when they are managed together with the surrounding human landscape. Restoration ecology repairs damaged ecosystems, using bioremediation (organisms that detoxify pollutants, such as bacteria that clean up oil) and biological augmentation (organisms that add essential materials, such as nitrogen fixing plants on mine spoils).
Reserve design draws on the equilibrium model of island biogeography, which predicts the number of species on an island (or a habitat patch) as a balance between immigration and extinction. Larger islands have lower extinction rates, and islands near a mainland source have higher immigration rates, so large, near islands hold the most species. Habitat fragments in a sea of farmland or cities behave like islands.
Climate change
Earth's surface is kept habitable by the greenhouse effect. Sunlight passes through the atmosphere and warms the surface, which radiates infrared energy; greenhouse gases such as CO2, methane (CH4), nitrous oxide (N2O) and water vapor absorb much of that infrared and re radiate part of it back, warming the lower atmosphere. Without any greenhouse effect, Earth's average surface temperature would be about −18 °C instead of about 15 °C. Human activities, chiefly burning fossil fuels, deforestation and agriculture, have increased greenhouse gas concentrations, strengthening the effect. Average global surface temperature has risen by about 1.1 to 1.3 °C since the late 1800s, with the most warming at high northern latitudes.
The biological effects are already visible. Species ranges are shifting toward the poles and upslope, and some mountain and polar species have nowhere left to go. The timing of seasonal events, or phenology, is changing: many plants flower earlier, which can mismatch them with pollinators, and some migratory birds now arrive after their insect food has peaked. Warmer oceans cause coral bleaching, in which corals expel their photosynthetic algae and may starve, while ocean acidification makes it harder for corals, mollusks and some plankton to build calcium carbonate shells and skeletons. Thawing permafrost releases stored carbon, a positive feedback that amplifies warming. Droughts, heat waves and fire seasons are becoming more intense in many regions.
Responses fall into two categories. Mitigation reduces the cause: shifting to renewable and nuclear energy, improving efficiency, protecting and restoring forests and wetlands that store carbon, and cutting methane and nitrous oxide from agriculture. Adaptation reduces harm: building corridors so species can track shifting climates, assisting migration of vulnerable species, breeding heat and drought tolerant crops, and protecting coasts. Other global changes, such as stratospheric ozone depletion by chlorofluorocarbons, show that coordinated international action works: after CFCs were phased out under a global agreement, the ozone layer has begun to recover.
Biodiversity exists at the genetic, species and ecosystem levels and provides ecosystem services worth far more than we usually notice. Habitat loss, invasive species, pollution, human population growth and overharvesting drive extinctions far above background rates. Conservation protects small and declining populations, connects habitats with corridors, prioritizes hot spots and restores damaged ecosystems, while mitigation and adaptation address climate change driven by rising greenhouse gases.
The chapter in one breath
- Ecology studies interactions at the organism, population, community, ecosystem, landscape and biosphere levels.
- Uneven solar heating drives circulation cells: rising air brings rain to the equator, sinking air creates desert belts near 30 degrees, and mountains cast rain shadows.
- Temperature and precipitation define terrestrial biomes; light, depth, salinity and nutrients define aquatic biomes.
- Populations grow exponentially without limits and logistically toward a carrying capacity K, growing fastest at K/2.
- Density dependent factors such as competition, disease and predation regulate populations; density independent factors such as frost do not.
- Life histories trade offspring number against investment; survivorship curves run from type I to type III.
- Competition limits species to realized niches and leads to resource partitioning; predation drives camouflage, warning colors and mimicry.
- Keystone species and trophic cascades show top down control; succession rebuilds communities after disturbance.
- Energy flows one way, with about 10 percent passing between trophic levels; NPP = GPP − R.
- Matter cycles: prokaryotes drive the nitrogen cycle, photosynthesis and respiration drive the carbon cycle, and phosphorus cycles slowly through rock.
- Habitat loss, invasive species, pollution, population growth and overharvesting threaten biodiversity; conservation uses corridors, hot spots, reserves and restoration.
- Rising greenhouse gases strengthen the greenhouse effect, shifting ranges and phenology and acidifying the ocean.
Words worth knowing
| Term | What it means |
|---|---|
| Biome | A major life zone defined by its dominant vegetation on land or its physical environment in water. |
| Rain shadow | The dry region on the leeward side of a mountain range, where descending air warms and absorbs moisture. |
| Photic zone | The upper layer of a body of water with enough light for photosynthesis. |
| Eutrophic | Describes a nutrient rich, highly productive body of water, often low in oxygen at depth. |
| Population | A group of individuals of one species living in the same area. |
| Carrying capacity (K) | The maximum population size an environment can sustain. |
| Exponential growth | Growth at a constant per capita rate, giving a J shaped curve. |
| Logistic growth | Growth that slows as the population nears carrying capacity, giving an S shaped curve. |
| Density dependent factor | A factor whose effect on birth or death rates grows stronger as population density rises. |
| Survivorship curve | A plot of the number of survivors in a cohort against age. |
| Life history | An organism's schedule of growth, reproduction and survival. |
| Ecological niche | The total set of resources and conditions a species uses and tolerates. |
| Competitive exclusion principle | Two species with identical resource needs cannot coexist indefinitely in the same place. |
| Resource partitioning | Division of limited resources among species, allowing similar species to coexist. |
| Batesian mimicry | A harmless species resembling a harmful or distasteful one. |
| Mutualism | An interaction in which both species benefit. |
| Keystone species | A species with an effect on community structure far larger than its abundance suggests. |
| Trophic cascade | Effects of a predator that ripple down through successive lower trophic levels. |
| Primary succession | Community development in an area with no soil, such as bare rock. |
| Secondary succession | Community recovery after a disturbance that leaves the soil in place. |
| Net primary production | Gross primary production minus the energy producers use in respiration. |
| Trophic efficiency | The percentage of production passed from one trophic level to the next, about 10 percent. |
| Nitrogen fixation | Conversion of atmospheric N2 into ammonia by certain prokaryotes or industrial processes. |
| Denitrification | Conversion of nitrate back to N2 gas by bacteria in low oxygen conditions. |
| Cultural eutrophication | Excess nutrients from human sources causing algal blooms and oxygen depletion. |
| Biological magnification | Increasing concentration of persistent toxins at higher trophic levels. |
| Ecosystem services | Benefits people receive from ecosystems, such as pollination and clean water. |
| Biodiversity hot spot | A small area with many endemic and threatened species. |
| Movement corridor | A strip of habitat connecting otherwise isolated patches. |
| Greenhouse effect | Warming of the lower atmosphere as gases absorb and re radiate infrared energy. |