Practical Guide to Genetic Gain
Practical Guide to Genetic Gain
Contents
1. Introduction 218
2. The Basics of genetic gain and population improvement 219
2.1 Definition 219
2.2 How genetic gain is achieved 219
2.3 An example of genetic gain over cycles of breeding 222
2.4 Rationale for population improvement 223
3. Selection techniques useful for population improvement 225
3.1 Utilizing multiple sources of information for selection 225
3.2 Direct and indirect selection 227
4. Expected genetic gain 228
4.1 Components of phenotypic value 229
4.2 Expected breeding value of progeny and their parents 230
4.3 The Breeder’s equation 231
4.4 Equivalent versions of the Breeder’s equation 231
4.5 Stability of genetic variance 235
5. Realized genetic gain 236
5.1 Examples of genetic gain realized 236
5.2 Estimating realized genetic gain 238
6. How to improve rates of genetic gain 240
6.1 Foundational components 240
6.2 Advanced components 243
7. Conclusion 244
Acknowledgment 244
Appendix. R-function used for simulation 244
References 245
Abstract
An understanding of the inheritance of quantitative traits, those with a continuous phe-
notype, was first established in the early 1900s. This was instrumental for breeding
because quantitative genetic theory provides the basis for the development of methods
which can be used to increase the rate of genetic improvement, referred to as “genetic
gain,” within a breeding population over time. Today, the concept of genetic gain and
its basis in quantitative genetics is often not well understood among crop breeders and
1. Introduction
For the majority of agricultural history, selective breeding of animal
and plant species was done without a formal understanding of how selection
leads to genetic improvement. The basic principles of inheritance were first
described by Mendel (1866) and these principles could only fully explain the
inheritance of traits that fall into discrete categories. Important characters
like reproductive fitness in natural populations, as well as the yield of grain
crops and carcass weight of livestock were known to exhibit a continuous
range of variation. These characters are referred to as “quantitative traits.”
It was not until 1918 when the model for the inheritance of quantitative
traits based multiple Mendelian factors was comprehensively described
by the statistician and geneticist Fisher (1918). Also around that time, the
geneticist Sewall Wright described many quantitative genetic principles
that became instrumental for breeding (Wright, 1920, 1921). Animal
breeder, J.L. Lush was influenced by Wright’s work, and was one of the first
to apply quantitative genetics to breeding. The now widely recognized
breeder’s equation which describes how genetic improvement can be
predicted from one generation of selection to the next was just one of Lush’s
many important contributions (Lush, 1937).
Although ideas about the application of quantitative genetics for breed-
ing are over 80 years old, many plant breeding programs have not yet taken
full advantage of this knowledge to increase rates of genetic improvement.
This may be because there has been a great deal of emphasis on understand-
ing what are the genes or genomic regions which affect traits, in hopes
that this will enable a precise stacking of favorable genes. While such an
approach may be useful for monogenic or even oligogenic traits, it is not
a solution for the improvement for quantitative traits (Bernardo, 2008)
A practical guide to genetic gain 219
which are known to be influenced by a large number of genes. For such traits,
genetic improvement over cycles of selection is necessary so that favorable
alleles can be brought together gradually. Such a population improvement
approach is how natural selection works to drive adaptive evolution
(Fisher, 1930), and it is required for achieving genetic gain in breeding pro-
grams. This chapter aims to help improve the understanding and appreciation
of this concept for plant breeding.
merit. Because the term genetic gain only applies to changes in population
mean over cycles of selection, in makes sense to talk about genetic gain in
traits that are heritable and conferred by multiple loci. This is because
improving such traits can be done most effectively over multiple cycles of
selection.
Explicitly stacking favorable alleles to achieve a desired genotype, back-
crossing for the introgression of favorable alleles, and mutation breeding are
breeding methods that do not produce genetic gain because these breeding
approaches do not lead to improvement the breeding population as a whole.
Even if these approaches were applied population-wide, once the targeted
set of desired loci are fixed, there can be no further improvement in
genetic value.
Strictly speaking, genetic gain can only be realized from executing at least
1 cycle of breeding. The breeding cycle required to realize genetic gain,
illustrated in Fig. 1, consists of four parts, generation, evaluation, selection,
and recombination. This process is also referred to as “population
improvement” or “recurrent selection.” Different breeding materials, such
as single non-inbred plants, or families such as inbred lines, may be used for
the processes of evaluation, selection, and recombination. For example, an
individual’s progeny from open-pollination may be used for evaluation and
its progeny from self-pollination for recombination (Goulas and Lonnquist,
1976). The breeding materials that are subject to selection are called
Fig. 1 The Breeding cycle. Recurrent cycles of breeding which consist of generation, eval-
uation, selection, and recombination, are required to achieve genetic gain over time.
A practical guide to genetic gain 221
selection units, those that are evaluated are called evaluation units, and those
that are recombined are called recombination units. In self-pollinated crops,
the same inbred lines are often utilized as the evaluation, selection, and
recombination units.
Generation is the development of the breeding materials that will be used
in the evaluation, selection, and recombination processes. The time required
to complete this step of the breeding cycle can be reduced by using off-
season nurseries or greenhouses (Collard et al., 2017; Watson et al.,
2018), or by using doubled haploid technology (Gallais and Bordes,
2007) when inbred lines are required.
Evaluation is the collection of phenotypic and/or genotypic data that
will be used in the selection process and it is the generally the most expensive
step in the breeding cycle. For phenotypic evaluation, conducting field trials
in multiple environments with appropriate field plot technique is a critical
component. High-throughput phenotyping and partially replicated exper-
imental designs can help to increase the efficiency of phenotypic evaluation
(Cullis et al., 2006; Haghighattalab et al., 2016; Williams et al., 2010),
thereby enabling evaluation of a larger number of breeding materials.
Selection is the identification of which selection units to recombine
based on the selection criteria which may be single phenotypic values, or
multiple phenotypic values combined using a selection index, Best Linear
Unbiased Prediction (BLUP) (Henderson, 1975) reviewed by Piepho
et al. (2008) or another method for predicting the selection units’ value
for breeding purposes such as those described by Gianola (2013). The selec-
tion units are then ranked based on the selection criteria and all those above
or below a certain threshold are selected. Selection done this manner is called
truncation selection. In truncation selection, there is no attempt made to
control how much each selection unit contributes to the next generation
nor to control the exact cross combinations made. Optimum contribution
selection (Meuwissen, 1997) is an alternative to truncation selection which
takes into account the selection criteria as well as the relationships between
the selection units to determine how much each one should contribute to
the next generation to control the rate of inbreeding. This allows one to
control short and long-term genetic gain.
Recombination is the reshuffling of allelic combinations found in the
selected breeding materials. This is done by open-pollination or controlled
crossing. If crosses are controlled it is possible to precisely plan which pairs to
cross, referred to as mate selection or mate allocation. Mate selection is useful
for increasing genetic gain for an index of multiple economically important
222 Jessica E. Rutkoski
Fig. 2 An example of realized genetic gain over 5 cycles of selection. Histograms depict
distributions of phenotypic values for the base and selected populations. A vertical dot-
ted line is drawn at the mean of each distribution. With each advancing cycle the dif-
ference between the base and selected population means increases by a small
increment. By cycle five, the base and selected population means are significantly dif-
ferent in this example.
the same population there is some chance that superior individuals can be
identified each time, but the probability becomes increasingly smaller the
more times one attempts to identify an individual that is superior to all others
previously identified.
Now consider that instead of sampling from the same static population
each time, the population is subject to recurrent cycles of breeding and the
A practical guide to genetic gain 225
Table 1 Probability that an individual superior to all others can be identified every cycle
of selection during population improvement.
Number of attempts
h2 2 3 4 5
0 0.5 0.17 0.04 0
0.1 0.59 0.33 0.21 0.16
0.3 0.67 0.51 0.45 0.43
0.5 0.75 0.66 0.65 0.64
h2 ¼ 0 is equivalent to no population improvement.
best individual is sampled from each successive breeding cycle for promotion
as a variety. The probability that a superior individual can be identified each
time now partially depends on the genetic gain achieved from each selection
cycle. Using a simple simulation carried out in the R language and environ-
ment (R Development Core Team, 2016), described in Appendix, the
probabilities of successfully identifying a superior variety two to five times
in a row are estimated for different levels of narrow sense heritability, h2,
(Table 1) assuming a population size of 1000 and that 30 individuals are
selected for intermating at each cycle. The parameter h2 is the squared accu-
racy of selection and indicates how effective selection will be for achieving
genetic gain. The case of h2 ¼ 0 is equivalent to making repeated selections
from the same population that is not undergoing selection.
Assuming the heritability ranges from 0.1 to 0.5, the probability that a
superior variety is identified five times in a row from a population improving
over cycles of selection was shown to be 19–87 times greater than the prob-
ability of doing so without population improvement. Through this exercise,
it becomes clear that breeding is not merely a game of chance. Achieving
genetic gain through recurrent cycles of breeding can stack the deck in
ones favor by greatly increasing the probability of identifying superior
new varieties on an ongoing basis.
measurements were used as the criteria for selection. This method is called
phenotypic mass selection or simply mass selection. Mass selection is the
oldest form selection used in breeding. It requires no record keeping and
it can be done by simply collecting seeds of desirable plants after pollination.
Mass selection done in this manner only selects on females, while the male
parent is chosen at random through open pollination. If mass selection is
done prior to pollination, selection can be done on both female and male
parents by only intermating the selected individuals. Because mass selection
is done on single observations only, the selection units are also used as the
evaluation units, and generating separate breeding materials for the purpose
of evaluation is not needed. The accuracy of mass selection, which is usually
low for quantitative traits, is the square root of the narrow sense heritability
of the trait of interest in the base population.
In contrast to mass selection where the selection is based on single phe-
notypic values per selection unit, the criteria for selection may be multiple
phenotypic observations combined in a linear fashion into a single value,
referred to as a selection index. There are three types of selection indices that
were developed so that selection based on the index maximizes genetic gain.
First, the economic selection index was developed by Smith (1936) and
Hazel (1943) in which indices are based on phenotypic observations on mul-
tiple traits weighted in an optimal way to maximize genetic gain in total net
merit. The economic value of each trait, as well as the phenotypic and
genetic covariances among traits are incorporated in the weighting proce-
dure. The second is the family selection index developed by Lush (1947)
where indices are based on multiple phenotypic observations of a single trait
on breeding materials that are related. The index weights in the family selec-
tion index take into account the additive genetic covariance among relatives
and the heritability of the trait. The third type of selection index combines
both information from relatives and information from multiple traits
(Henderson, 1963). These selection index weights take into account the
economic value of each trait, the phenotypic and genetic covariances among
traits, and the additive genetic covariance among relatives.
Multiple phenotypic observations can also be combined using BLUP.
BLUP is a procedure that improves upon selection index methods in that
it can control for non-genetic factors. In the absence non-genetic factors,
BLUP is equivalent to a selection index. With BLUP, breeding materials
may be considered unrelated, in which case the BLUP values, referred
to as BLUPs, for the breeding materials are based only on their own data.
A practical guide to genetic gain 227
Fig. 3 Relative efficiency of indirect vs. direct selection phenotypic selection for differ-
ent levels of heritability (h2) of the trait of interest, h2 of the trait under selection, and
additive genetic correlation (rg) between the two traits. Equal selection intensities are
assumed for indirect and direct selection. Indirect selection is more effective than direct
selection wherever the relative efficiency values are greater than one.
two basic genetic principles are explained and then used to show how to
predict genetic gain per cycle and per unit time from simple phenotypic mass
selection and selection based on selection indices or BLUPs.
values that deviate from the average in positive and negative directions
(Franklin, 1977; Hill, 1993) because progeny do not receive the same set
of alleles from each parent.
between true and estimated breeding values referred to as the selection accuracy, σ g is the additive genetic
standard deviation, h is the square root of the heritability, rg is the additive genetic correlation between
traits i and j, Rm and Rf is the genetic gain per cycle in males and females, respectively.
selection, evaluation, and recombination units are the same individuals and
selection is imposed equally on both males and females.
Recall that the average breeding value for a group of selected individuals
can be predicted using g^∗ ¼ g + bxg ðx∗ xÞ, where g^∗ is the average breed-
ing value, g is the average breeding value of the population, bxg is the regres-
sion coefficient between breeding values and estimated breeding values, x∗
is the average estimated breeding value for the selected individuals, and x is
the average estimated breeding value of the population.
Also recall that x∗ x is also known as the selection differential, S. Thus
the prediction equation can be written as g^∗ ¼ g + bxg S. The selection differ-
ential, S, can be expressed in units of standard deviation, referred to as k, using
k ¼ S/σ x where σ x is the additive genetic standard deviation of the estimated
breeding values. Through rearrangement, S ¼ kσ x. Substituting kσ x for S in
g^∗ ¼ g + bxg S we arrive at g^∗ ¼ g + bxg kσ x . Subtraction of g from both sides
gives g^∗ g ¼ bxg kσ x . Recall that g^∗ is equal to g1 , therefore g^∗ g becomes
g1 g which is simply the change in population means due to selection, R.
Through substitution of R for g^∗ g in g^∗ g ¼ bxg kσ x , we arrive at
R ¼ bxgkσ x.
A practical guide to genetic gain 233
Fig. 4 Selection intensity vs. percent selected for percent values ranging from 1 to 50.
Fig. 5 The rate of genetic gain per cycle with increasing levels of selection accuracy.
A clear linear relationship between the selection accuracy and the rate of genetic gain
in units of genetic standard deviation is demonstrated.
is the duration of the breeding cycle which has an indirect relationship with
the rate of genetic gain per unit time. For example, reducing the breeding
cycle from 6 to 3 years would double the rate of genetic gain per unit time,
assuming the accuracy, additive genetic variance, and percent selected,
A practical guide to genetic gain 235
Fig. 6 The rate of genetic gain per cycle with decreasing levels of percent selected.
Lower values of percent selected are associated with greater rates of genetic gain
per cycle, especially when the selection accuracy is moderate to high.
remain unchanged. Of all the variables in the breeder’s equation, the length
of the breeding cycle duration has probably the greatest potential to be
manipulated to increase rates of genetic gain in plant breeding programs.
Fig. 7 The proportion of the additive genetic standard deviation remaining immedi-
ately after truncation selection and prior to recombination for different values of selec-
tion accuracy and percent selected. As selection accuracy increases the additive genetic
standard deviation remaining after selection decreases.
will remain constant for a reasonable length of time if the trait under
selection is quantitative and the population has already been under selection
for a few cycles.
selection over the long term. For example, in the Illinois Long-Term Selec-
tion experiment in maize (Zea mays L.), recurrent selection for high percent
oil and high percent protein in maize kernels has produced consistent
changes in phenotype for more than 100 cycles of selection. For example,
at the start of the Illinois Long-Term Selection experiment in 1896 average
percent oil was 4.69, and by 2004 the population being selected for higher
percent oil reached an average of 22.1% oil (University of Illinois Urbana-
Champaign Department of Crop Science, 2007a, 2007b). In addition to the
changes in means, the ranges of the populations observed in 1896 and 2004
are also drastically different (Fig. 8). This demonstrates the effectiveness of
selection within a single population for bringing about major changes in
the phenotypic means and ranges.
The long-term genetic gain from selection observed in the Illinois Long-
Term Selection experiment is consistent with a hypothesis that there are
many loci affecting oil and protein content, and alleles that have a positive
effect on these traits were relatively rare in the initial population (Dudley,
2007). Similar observations have been observed in animal species. For
Fig. 8 Realized genetic gain from selection for increased percent oil of kernels in maize
in the Illinois Long-Term Selection experiment.
238 Jessica E. Rutkoski
1 or 2 years. Estimates of mean breeding value per year estimated using ped-
igree or genomic relationship may be less confounded with year because
genetic connectivity between years can be increased through the pedigree
or genomic relationship. If a control population or multiple check varieties
were grown in all years, then data on the control population can be used to
help separate the genetic and non-genetic effects over time. However, it is
relatively rare to find an applied breeding program that has evaluated a con-
trol population or the same set of checks for several consecutive years.
Fig. 9 A Breeding program’s hierarchy of needs. Each section of the pyramid represents
a different component that is important for realizing genetic gain. The first two levels,
shaded in a darker color, consists of the foundational components that must be in place
to ensure that genetic gain can be realized. The upper part of the pyramid consists of
advanced components that can help increase the rate of genetic gain realized by the
breeding program.
spreadsheets containing plot yield data do not also include harvested area of
the plots, the yield data may no longer be usable. Proper use of a breeding
data management system can help in avoiding data such errors. Several such
data management systems are now available.
Effective operations means that routine activities such as planting,
harvesting, crossing, and managing germplasm are done correctly so that
the identity of the breeding materials is preserved during the breeding process.
If a breeding program cannot execute routine activities correctly, it will lose
control over which breeding materials ultimately get selected and recom-
bined. Mistakes during the execution of routine activities can be minimized
by ensuring that population sizes are manageable given the resources available,
by ensuring staff are adequately trained and managed, and by consistently fol-
lowing a set of well thought out standard operating procedures. Detecting
mistakes when they occur is also important so that they can be mitigated
and prevented in the future. Morphological checks, visually distinct plants
or families that can be easily identified, can help detect errors in planting
and harvesting. If these checks are not planted in the correct plots or if they
are mislabeled after harvest, this can indicate that a mistake occurred during
the field operations and the data and germplasm resulting from these opera-
tions may be unusable. Genotyping can also be useful for detecting seed mix-
tures or failed crosses so that they may be discarded (Chen et al., 2016).
Effective phenotypic evaluations are needed to ensure that the breeding
program will realize genetic gain in the target traits according to the objec-
tives of the breeding program. For phenotypic evaluations to be effective
they should be done in a way so that the phenotypic data collected is pre-
dictive of that which would be observed in farmers’ fields. This requires
proper phenotyping methods, and appropriate statistical design which
includes conducting trials in multiple environments that adequately sample
the TPE. For example, if the target trait is grain yield and farmers grow the
crop in their fields as a uniform stand (as opposed to a mixture), then grain
yield should be measured in field conditions, using field sites that that rep-
resent the farmer’s environments, and using homogenous breeding materials
grown in reasonably large plots (Rebetzke et al., 2014). Research to assess
patterns of genotype by environment interaction (GxE) and different
phenotyping methods can help in determining what field trial sites to use
and how to conduct phenotypic evaluations for improving the traits of inter-
est in the TPE. In many crops, research studies on phenotyping methods for
various traits have already been conducted and can be readily adopted.
A practical guide to genetic gain 243
7. Conclusion
The objective of this chapter was to increase awareness and knowledge
about genetic gain so that breeding programs can begin to take actions that
will enable them to be more successful. Genetic gain was defined as the
improvement in average genetic value in a population or the improvement
in average phenotypic value due to selection within a population over cycles
of breeding assuming that the effect of environment remains constant. The
importance achieving genetic gain over cycles of selection was demonstrated
using a simple simulation, where achieving genetic gain over multiple cycles
of selection was shown to dramatically increase the probability of identifying
promising new varieties on an ongoing basis compared to repeated selecting
from a population that is not improving such as a germplasm collection.
Next, key selection techniques such as combining multiple sources of infor-
mation for selection using selection indices and BLUP and direct and indi-
rect selection were explained and discussed to help point out when these
techniques are useful. Then, to show that genetic gain is readily achievable,
quantitative genetic principles were used to explain how genetic gain can be
predicted from one generation to the next. This was followed by a discussion
of realized genetic gain including impressive examples from selection exper-
iments, and a review of methods used to estimate realized rates of genetic
gain. Lastly, a hierarchy of different components needed in a breeding pro-
gram was provided, first to ensure that the breeding program can realize
genetic gain and second to enable the breeding program to realize genetic
gain at a faster rate.
Acknowledgment
This work was supported by the Bill and Melinda Gates Foundation project: Transforming
Rice Breeding and Excellence in Breeding Platform (EiB) of the Consultative Group on
International Agricultural Research (CGIAR).
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