Context: Multiple articles describe a constellation of lan- with and without the BAP (n = 83), as well as control
guage, personality, and social-behavioral features pres- individuals.
ent in relatives that mirror the symptom domains of au-
tism, but are much milder in expression. Studies of this Main Outcome Measures: A comprehensive battery
broad autism phenotype (BAP) may provide a poten- of neuropsychological tasks assessing social cognition,
tially important complementary approach for detecting executive function, and global vs local processing strat-
the genes causing autism and defining associated neural egies (central coherence).
circuitry by identifying more refined phenotypes that can
be measured quantitatively in both affected and unaf- Results: Both individuals with autism and parents with
fected individuals and that are tied to functioning in par- the BAP differed from controls on measures of social cog-
ticular regions of the brain. nition, with performance in the other 2 domains being
more similar to controls.
Objective: To gain insight into neuropsychological fea-
tures that index genetic liability to autism. Conclusions: Data suggest that the social cognitive do-
main may be an important target for linking phenotype
Design: Case-control study.
to cognitive process to brain structure in autism and may
Setting: The general community.
ultimately provide insight into the genes involved in
autism.
Participants: Thirty-eight high-functioning individu-
als with autism and parents of autistic individuals, both Arch Gen Psychiatry. 2009;66(5):518-526
A
UTISM IS A SEVERE LIFE - Eisenberg, MD, further described rela-
long developmental disor- tives, and fathers in particular, as perfec-
der that compromises func- tionistic to an extreme . . . pre-occupied
tioning across multiple with detailed minutiae to the exclusion of
domains including social concern for over-all meanings.4 These
behavior, language, sensory function, and early observations were unfortunately mis-
ritualistic/repetitive behaviors and inter- interpreted as evidence faulting parents
ests. While the etiology of autism is com- behaviors in the etiology of autism, and
plex and not fully understood, strong evi- it would be another 20 years before this
dence from twin and family studies suggests myth would be dispelled by the land-
Author Affiliations:
a large genetic contribution, with heritabil- mark twin study of Folstein and Rutter.5
Departments of Allied Health
Sciences (Drs Losh and ity estimates as high as 90%.1,2 Twin and This study not only detected mark-
Baranek), Psychiatry (Drs Losh family studies have also shown that ge- edly higher concordance rates of autism
and Piven), and Psychology netic liability appears to be expressed in un- among monozygotic twins than dizy-
(Drs Losh, Couture, and Penn), affected relatives of people with autism gotic, but also found even higher mono-
Neurodevelopmental Disorders through features that are milder but quali- zygotic concordance for a more broadly de-
Research Center (Drs Losh, tatively similar to the defining characteris- fined phenotype including subclinical
Poe, Penn, Baranek, and Piven), tics of autism. language and cognitive features. Family
and Frank Porter Graham Child The first observation of such subclini- studies following up on these striking find-
Development Institute cal traits can be credited to child psychia- ings have repeatedly confirmed the pres-
(Dr Poe), University of North
trist Leo Kanner, MD, whose original nar- ence of such subclinical phenotypes among
Carolina at Chapel Hill, Chapel
Hill; and the Division of rative descriptions of autism also noted relatives, now referred to as constituting
Humanities and Social Sciences, among relatives a strong preoccupation a broad autism phenotype (BAP). The fea-
California Institute of with abstractions of a scientific, literary, tures of the BAP closely parallel the core
Technology, Pasadena, or artistic nature, and limited in genuine symptom domains in autism (ie, im-
California (Dr Adolphs). interest in people.3 A decade later, Leon paired social functioning, language and
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Group
a Race was self-reported and collected for purposes of reporting sample characteristics to the National Institutes of Health; ellipsis indicates information not
reported.
communication deficits, and restricted/repetitive inter- might serve to carve out specific phenotypic subtypes
ests), yet are subtle in expression and not usually asso- and that could form the basis for stronger genotype-
ciated with any functional impairment.6 Importantly, phenotype associations.
whereas by definition autism involves impairment across
all 3 symptom domains, evidence suggests that these fea- METHODS
tures may decouple and segregate independently in rela-
tives without autism,7-9 consistent with the observation PARTICIPANTS
that they appear to be uncorrelated in neurotypical popu-
lations.10 Studies of relatives may therefore help to dis- Participants included 36 high-functioning individuals with au-
entangle the complex autistic phenotype and to identify tism, 41 autism controls (neurotypical individuals with no fam-
component traits more amenable to neurocognitive and ily history of autism), 83 parents of individuals with autism (au-
genetic dissection than the full clinical syndrome. tism parents), and 32 parent controls (ie, neurotypical parents
The present study is an attempt to inform the neuro- with no family history of autism or developmental delays). In-
psychological basis of autism and the BAP via detailed tact families were used to afford analysis of parent-child cor-
neuropsychological assessment of high-functioning in- relations. Twenty-two intact families were successfully re-
dividuals with autism and parents of autistic individu- cruited (ie, 44 parents and their high-functioning autistic
children). The remaining families included either a single par-
als (both with and without the BAP). We investigate per- ent and their autistic child (n=15) or parents only (n=24) who
formance within the 3 principal neuropsychological participated without their child. Control groups (both parent
domains that have each been proposed as key cognitive and autism controls) were recruited through local advertise-
abilities in which impairments may explain the autistic ment and were screened to be similar in demographic charac-
phenotype: social cognition, central coherence, and ex- teristics to the autism and autism parent groups (Table 1).
ecutive function. Autistic individuals impairments in each To ensure that all participants were capable of completing the
of these domains have been previously described,10,11 and same battery of tasks, only autistic individuals aged 16 years or
emerging literature has begun to document parallel per- older with a performance intelligence quotient of 80 or higher on
formance patterns among unaffected relatives.12-16 the Wechsler Abbreviated Scale of Intelligence20 were included.
We assessed performance using a battery of tasks se- The Autism Diagnostic Interview, Revised,21 and the Autism Di-
agnostic Observational Schedule, Revised,22 were administered
lected to assess processing comprehensively within a given to all participants. Clinical diagnoses were assigned according to
domain and chose our battery with an eye toward links current DSM-IV criteria.23 All participants gave informed consent
to studies of subjects with circumscribed neurological le- to participate in accordance with a protocol approved by the in-
sions that could shed light on specific neural structures stitutional review board of the University of North Carolina.
that are involved in autism, and potentially the BAP. For
instance, several of our social cognition tasks had been CLINICAL ASSESSMENT OF THE BAP
shown to tap amygdala function, a structure that has also
been hypothesized to play a role in autism.17-19 We fo- Characteristics of the BAP were assessed through clinically based
cused on high-functioning adults with autism so an iden- interviews using the Modified Personality Assessment Sched-
tical battery of tasks might be administered to both the ule, Revised. This instrument has been used in many studies
parent and autistic groups, thus affording direct com- to define key features of the BAP.7,8,24 Interviewers guide par-
parisons relative to respective control groups. ticipants through a number of questions to probe personality
To summarize, the goals of this study were (1) to pro- characteristics and dispositions relevant to autism and the BAP,
namely, rigid or perfectionistic personality, and socially
vide an in-depth characterization of the neuropsychologi-
aloof or untactful personality. These traits are thought to
cal profile of autism and the BAP; (2) to identify patterns parallel the ritualistic/repetitive and social symptom domains
of performance within and across neuropsychological do- of autism, respectively. Such features have been shown to re-
mains that were common to both autistic individuals and liably distinguish autistic relatives from controls.7
parents; and (3) to identify cosegregation between clini- Ratings were assigned by 2 independent raters (Morgan Par-
cal phenotype and neuropsychological functioning that lier, MS; Robert Hurley, MS; Ellen Cohen, PhD; or Monica
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NEUROPSYCHOLOGICAL MEASURES We assessed the executive skills of planning, set shifting, and
cognitive control through 2 well-established tasks, the Tower
Measures of social cognition, executive function, and central of Hanoi and the Trail Making Task. These tasks are believed
coherence were selected based on (1) their theoretical and em- to use prefrontal cortical regions.44,45
pirical ties to the neuropsychological domains of interest;
1. The Tower of Hanoi involves planning a sequence of
(2) psychometric properties including reliability and indication
moves that transfer an initial configuration of rings onto a par-
that each was suitable for individuals with autism, parents, and
ticular peg, abiding by certain rules. Impairments on this task
controls without danger of floor or ceiling effects; and (3) evidence
have been observed in autistic individuals and their relatives,
from functional magnetic resonance imaging and/or lesion stud-
although very high-functioning individuals have been re-
ies suggesting associations with particular structures or regions
ported to perform exceptionally well.41
of the brain thought to be important for the 3 domains and pu-
2. The Trail Making Task is a measure of set shifting and
tatively implicated in autism.25,26 Tasks are described below.
cognitive control of interference in which sequences of num-
bers and letters must be alternately used to trace to an end point
Social Cognition as quickly as possible. This measure is widely used in brain in-
jury and/or lesion studies.46 As in typical neuropsychological
These tasks have been described in detail elsewhere and so are evaluations, we also included a more simplistic version (Trails A)
reviewed briefly below. that does not involve set shifting, but instead only the tracing
1. The Reading the Mind in the Eyes Task12 involves infer- of letters in a sequence without alternation involved. Analyses
ring psychological states from viewing slides depicting only the examine the difference between the set shifting (Trails B) and
eye region of faces. Participants choose 1 of 4 responses pro- the basic (Trails A) tasks.
vided and the proportion of correct answers serves as the in-
dex of performance. Impaired performance on this task has been Weak Central Coherence
described in individuals with autism and their relatives12,13,27,28
and has been tied to the amygdala, medial prefrontal cortex, Weak Central Coherence is a theory concerning the detail-
and superior temporal gyrus.29-32 focused cognitive style prevalent among individuals with au-
2. The Morphed Faces Task assesses the ability to identify tism, assessed through tasks that index the salience of parts over
emotions from faint facial expressions generated by mor- wholes and relative insignificance of overall gestalt. Global in-
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Parent Groups b
a Scores for the Eyes Test represent difference in percentage correct. Scores for all other measures represent z-scored differences from norms.
b BAP () defined by social traits measured on the Modified Personality Assessment Schedule, Revised.
c Mean difference scores are adjusted for covariates of age, sex, and IQ. Means are presented for primary components of each task unless significant
interactions were detected.
d Significant differences appear in boldface.
findings are reported for BAP () vs BAP () vs controls. rigid feature of the BAP. A significant effect of sex was de-
Adjusted mean differences, standard errors, and P values tected among parents, revealing that differences were more
are presented in Table 3 (social cognition) and Table 4 profound among BAP () mothers than fathers.
(executive functioning and central coherence). For mea- On the Morphed Faces test, the autistic group was less
sures of social cognition, all tasks except the Eyes Test were accurate at identifying fearful expressions across all varia-
analyzed as z-scored differences from normal values, re- tions of expression intensity, both high- and low-
sulting in mean differences in standard deviations (ie, a morphedness (ie, faces closer to prototypical facial ex-
mean difference of 1.0 reflects a full standard deviation dif- pression and therefore presumably easier to decipher as
ference between groups). well as those closest to neutral or faintly expressed). No
Though not described, we note that parent-child cor- differences were observed for happy or sad faces. Analy-
relations were examined but did not reveal significant as- sis revealed significantly lower accuracy identifying fear-
sociations across domains or specific tasks. ful faces among the social BAP () group, but only when
expressions were most faintly expressed. That is, at low
SOCIAL COGNITION levels of morphedness parents in the social BAP () group
were significantly less accurate in identifying fearful
On the Reading the Mind in the Eyes Test, the autistic group expressions than the other parent groups (controls,
performed significantly less accurately than controls BAP [], rigid BAP). As observed in the autistic group,
(Table 3). Significant differences were also detected in par- no significant differences were observed for happy or sad
ents, but these differences were only present in those with stimuli.
the social BAP, hereafter referred to as BAP (). The On the Trustworthiness of Faces test, the autistic group
BAP () group was less accurate than controls and BAP differed from controls in judging the trustworthiness of
() parents. There were no significant differences be- faces. Individuals with autism differed from normal re-
tween controls and BAP () parents or parents showing the sponses significantly more than controls only on the nega-
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Parent Groups b
a Most of the tasks are complexly designed with repeated within-subject measures that are defined by the emotion (happy, sad, angry, scared), intensity of
emotion (neutral-extreme), and/or degree of difficulty (as in the morphed faces, high vs low morphedness). To account for such complexities, a repeated
measures mixed model was fit for each outcome. Three alternative within-person covariance structures were considered in guiding model selection: unstructured,
compound symmetric heterogeneous, and compound. Bayesian information criterion scores were used to evaluate these alternative covariance structures and
guided selection of the most appropriate model.
b BAP () defined as rigid/perfectionistic as measured on the Modified Personality Assessment Schedule, Revised.
c Mean difference scores adjusted for covariates of age, sex, and IQ.
d Significant P values appear in boldface.
e Sentence completion coefficients are from a logistic regression model.
tively valenced slides (ie, unfriendly stimuli). Relative to tional content of complex scenes. The BAP () and con-
controls, individuals with autism significantly overrated the trol groups performed similarly to each other.
trustworthiness of negatively valenced faces (ie, they rated On the Point Light Displays test, in the basic emotion con-
unfriendly faces as overly friendly). The social BAP () dition, individuals with autism were significantly less accu-
group differed from normal responses significantly more rateatidentifyingpositiveemotionsfrompointlightdisplays.
than controls and BAP () parents on the positively va- Differences were also observed in the more complex emo-
lenced stimuli where they rated friendly faces as signifi- tion condition involving judgments of trustworthiness. The
cantly less trustworthy than the other parent groups. In other autistic group showed less sensitivity to positively valenced
words, relative to the other groups ratings, they rated these stimuli, failing to modulate their ratings as stimuli became
faces as somewhat threatening. No significant differences increasingly positive. Parent groups showed no differences
were detected between the other parent groups. in their ratings of the basic emotions, but the social BAP ()
On the Movie Stills test, the autistic group differed sig- group exhibited differences in judgments of trustworthiness
nificantly from controls across all emotions, though pat- for both positively and negatively valenced slides. Whereas
terns differed for each condition, faces omitted vs faces controls and parents without the social BAP judged posi-
present. When stimuli were shown without faces, the au- tively valenced slides as trustworthy and negative displays
tistic group differed from controls on all emotions; they less so, the social BAP () group appeared relatively insen-
were less accurate at identifying sadness and anger and sitive to variations in positive and negative valence, rating
better than controls at identifying fearful scenes. When these stimuli as neutral.
faces were present, individuals with autism were less ac-
curate at identifying anger, and no longer showed any EXECUTIVE FUNCTION
advantage identifying fear, suggesting that they ben-
efited less from viewing facial information than did con- On the Tower of Hanoi test, there were no significant dif-
trols. Findings among parents were consistent with this ferences in time or number of moves required to com-
pattern; across all emotions, BAP () parents were sig- plete the correct tower configuration. No significant dif-
nificantly less accurate than controls and BAP () groups ferences were observed among parent groups. Parents with
only when faces were present. Thus, whereas controls the rigid/perfectionistic traits of the BAP performed simi-
and parents without the social BAP became more accu- larly to BAP () and control parents. Parents who dis-
rate in judging emotions when facial expressions were played the social BAP also performed comparably to BAP
revealed, parents with the social BAP did not show this () and control groups.
increase in accuracy, suggesting they were less apt to take On the Trail Making test, there was no significant dif-
advantage of facial information when judging the emo- ference between the autistic and control groups in time
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